f/EPA
United States
Environmental Protection
Agency
I HE?
Business Utilization
(1230A)
EPA-180-B-001
June 2001
Doing Business with EPA
The 2K1 Edition
L
Small Business - Making A Difference
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FORWARD
"Doing Business with EPA" is a publication designed to familiarize small, small
disadvantaged, 8(a), hubzone, women-owned, service disabled veteran and tribal firms,
non-profit organizations, Historically Black Colleges and Universities, Hispanic Colleges
and Universities and other Minority Institutions with the U.S. Environmental Protection
Agency's Procurement and Assistance Programs.
"Doing business with EPA" is now enhanced and expanded to provide you with a more
comprehensive perspective of EPA. This publication is intended to assist
socioeconomic entities seeking to do business with EPA. This guide is issued by the
Office of the Administrator, Office of Small and Disadvantaged Business Utilization
(OSDBU). OSDBU is responsible for the implementation of EPA's activities on behalf
of socioeconomic firms in accordance with Public Law 95-507, Public Law 100-656
and Executive Order 12138. As such, EPA's OSDBU is committed to improving and
increasing the involvement of these socioeconomic entities in the Agency's overall
acquisition/financial assistance programs. You can obtain a copy by writing to OSDBU,
at 1200 Pennsylvania Avenue, N.W., (1230A), Washington, D.C. 20460, or visit our
Internet homepage at: http://www.epa.aov/osdbu/Dubs.htm.
We hope that this publication is helpful to you as you seek to do business with EPA.
faanette £.
Director
Office of Small and Disadvantaged
Business Utilization
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TABLE OF CONTENTS
U.S. EPA Mission 1
OSDBU Mission 1
Acquisition and Assistance Agreements 2
Preferential Procurement Programs 2-4
Regulations Governing EPA Acquisitions 4
Competition for EPA Contracts 4
Purchase Card Acquisitions , 4-5
Sealed Bidding ....5
Negotiation Method 5
Small Purchases 5-6
Small Business Vendor Prof ile System 7
PRO-Net 8
Electronic Services - EC/EDI 9
Electronic Commerce Resource Centers (ECRCS) 10
GSA Federal Supply Schedules 10
Subcontracting 10-11
Competition Advocate 11
Alternative Disputes Resolution 11-12
Unsolicited Proposals 12
Architect-Engineer 12
Commerce Business Daily 12
Off ice of Acquisition Management Organization Chart 13
Off ice of Acquisition Management Prof ile • 14-19
Commodities and Services Acquired by EPA 20
Contract Opportunities Under Superfund (Baste Categories) 21
Points of Contact for Procurement 22-26
Financial Assistance Program (Indirect Procurement-Grants) 27
Grants Administration Division 28
Assistance Prof ile 29-30
HowDol 31-35
Guide to Preparing Object Class Category Budget Detail 36-37
Sample FY'96 Cooperative Agreement -Workplan 38
How to Formulate An ApprovalableWorkplan 39
APPENDIXs
A. EPA's Application Kit for Assistance (January! 998) 40-68
B. MBE/WBE Coordinators 69-70
C. SBIR Program 71
D. EPA Small Business Ombudsman 72-73
E. State Small Business Assistance Programs 74
F. Components of an Overall State Assistance Program 75
G. Where to Call for More Information 76
H. OSDBU Directors from other Federal Agencies • 77
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ERA'S MISSION
The U.S. Environmental Protection Agency
(EPA) was established as an independent
agency in the Executive Branch of the U.S.
Government, pursuant to Reorganization
Plan No. 3 of 1970, effective December 2,
1990. EPA was created to enable
coordinate effective Government action on
behalf of the environment. EPA endeavors
to achieve control and abatement of
pollution, by properly administering and
integrating a variety of research,
monitoring, standard-setting, and
enforcement activities.
EPA also provides coordination and support
for research and antipollution activities
conducted by State and local governments,
private and public groups, individuals, and
educational institutions. In addition, EPA
reinforces efforts on the part of other
Federal agencies to assess the impact of
their operations on the environment. EPA
furnishes written comments on
environmental impact statements and
publishes its findings, especially when the
findings reveal that a proposal is
unsatisfactory from the standpoint of
public health, welfare or environmental
treatment. In all, EPA is designed to serve
as the public advocate for a safe, habitable
environment.
OSDBU'S MISSION
The OSDBU has responsibility within the
Agency for policy, procedures and
oversight of the implementation of
programs described under Sections 8 and
15 of the Small Business Act as Amended
and Executive Orders 12073, 12432 and
12138 relating to preference programs for
small, small disadvantaged, women-
owned, hubzone firms.
U.S. EPA Headquarters U'brary
Mail code 3201
1200 Pennsylvania Avenue NW
Washington DC 20460
The Office develops, in collaboration with
the Director, Office of Acquisition
Management, Director, Office of Grants
and Debarment and other appropriate EPA
Program Officials, programs to stimulate
and improve the involvement of
socioeconomic businesses, HBCU's and
other minority institutions of higher
education in the Agency's overall
acquisition process.
The Office is responsible for assuring that
small, small disadvantaged, minority,
women-owned, hubzone firms, HBCU's
and minority institutions of higher
education are given an equitable
opportunity to receive a "fair share" of
subagreements during the procurement
phase of certain types of financial
assistance awarded by the Agency. In
addition, OSDBU is responsible for internal
training programs to enhance the
capabilities of socioeconomic firms. The
Office serves as a focal point for
ascertaining programs to help
socioeconomic firms to become more
competitive and viable in procurements
awarded under EPA Environmental Clean
Up Programs. The Office also provides
assistance in meeting the Agency's
Environmental Justices goals through out
the procurement process.
OSDBU serves as an advocate, counselor,
trainer and liaison to the small business
community. The services are administered
through participation in outreach activities
including interagency sponsored
conferences, one-on-one counseling and
group training seminars.
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ACQUISITION AND ASSISTANCE AGREEMENTS
EPA use various acquisition and assistance agreements to implement its activities.
Contracts, grants, cooperative agreements, and purchase orders are some of the
instruments which are negotiated and signed nationwide by EPA. These instruments
provide a variety of commodities and technical assistance to support the attainment of the
Agency's objectives.
It is important to note the distinction between assistance and acquisition for procurement
purposes. Acquisition refers to obtaining goods and services, through various types of
contracts, for use or benefit of the agency. Acquisitions are governed by the Federal
Acquisition Regulation (FAR), the EPA Acquisition Regulation (EPAAR) and the Contracts
Management Manual (CMM). Financial Assistance refers to the transfer of funds from EPA
to another party for the implementation of programs which will contribute to the public
good. Assistance is governed by U.S. EPA Regulations contained in 40 CFR Parts 30, 31,
and 35.
PREFERENTIAL PROCUREMENT PROGRAMS
Federal agencies are required by law to give preference to certain kinds of businesses in
the awarding of contracts. Certain terms and their meaning must be understood relative
to socioeconomic business development activity.
• Small Business Concern. A business qualifies as being small if it, including its
affiliates, is independently owned and operated, is not dominant in the area of
business in which it is bidding on Government contracts, and qualified as a small
business under the criteria and size standards of 13 CFR Part 121 (See FAR
19.102).
• Small Disadvantaged Business Concern. A small business concern that is at least
51 percent unconditionally owned by one or more individuals who are both socially
and economically disadvantaged, or a publicly owned business that has at least 51
percent of its stock unconditionally owned by one or more socially and economically
disadvantaged individuals and that has its management and daily business controlled
by one or more such individuals. This term also means a small business concern
that is at least 51 percent unconditionally owned by an economically disadvantaged
Indian Tribe or Native Hawaiian Organization, or a publicly owned business that has
at least 51 percent of its stock unconditionally owned by one of these entities, that
has its management and daily business controlled by members of an economically
disadvantaged Indian Tribe or Native Hawaiian organization, and that meets the
requirements of 13 CFR 124.
(A) Socially Disadvantaged Individuals. Individuals who have been subjected to
racial or ethnic prejudice or cultural bias because of their identity as a
member of a group without regard to their qualities as individuals.
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(B) Economically Disadvantaged Individuals. Individuals whose ability to compete
in the free enterprise system is impaired due to diminished opportunities to
obtain capital and credit as compared to others in the same line of business
who are not socially disadvantaged. Individuals who represent that they are
members of named groups (Black Americans, Hispanic Americans, Native
Americans, Asian-Pacific Americans, HUBZone, Veterans, Tribes) are to be
considered socially and economically disadvantaged. Individuals who are not
members of these setups may also...
Woman-Owned Small Business Concern. A small business concern which is:
(A) At least 51 percent owned by one or more women; or, in the case of any
publicly owned business, at least 51 percent of the stock of which is owned
by one or more women; and
(B) Whose management and daily business operations are controlled by one or
more women.
A price evaluation preference is established not in excess of 10 percent for socially
and economically disadvantaged business concerns in unrestricted solicitations.
(FASA Section 7102, Contracting Progress)
Nonmanufacture Rule. A contractor under a small business set-aside or 8(a) contract
shall be a small business under the applicable size standard and shall provide either its
own product or that of another domestic small business manufacturing or processing
concern (see 13 CFR 121.406).
Handicapped Individual. A person who has a physical, mental, or emotional
impairment, defect ailment, disease, or disability of a permanent nature which in any
way limits the selection of any type of employment for which the person would
otherwise be qualified or qualifiable.
Public or Private Organization for the Handicapped.
(A) Is organized under the laws of the United States or of any State, operated in
the interest of handicapped individuals, the net income of which does not inure
in whole or in part of the benefit of any shareholder or other individual;
(B) Complies with any applicable occupational health and safety standards
prescribed by the Secretary of Labor; and
(C) Employs in the production of commodities and in the provision of services,
handicapped individuals for not less than 75 percent of the direct labor required
for the production or provision of the commodities or services.
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If your firm qualifies under any of these categories, please forward a copy of your capability
statement and SF-129 to OSDBU for distribution to our program and contracting officers.
Your capability statement will also be helpful in developing a source list for upcoming
acquisitions which could result in increased business opportunities for your firm. Please mail
your capability statement to:
Office of Small and Disadvantaged Business Utilization
120O Pennsylvania Avenue, N.W. (1230A)
Washington, D.C. 20460
(202)564-4100
REGULATIONS GOVERNING EPA ACQUISITIONS
The Federal Acquisition (FAR) is issued under the joint authorities of the Administrator of the
General Services Administration (GSA), the Secretary of Defense, and the Administrator for
the National Aeronautics and Space Administration, under the broad policy guidelines of the
Administrator for the Office of Federal Procurement Policy (OFPP). EPA implements and
supplements the FAR through the EPA Acquisition Regulations (EPAAR), Title 48. Chapter 15.
The FAR is applicable to the Federal civilian agencies and the Department of Defense (DOD)
and is codified in the Code of Federal Regulations, Title 48. Chapter 1. (Federal Acquisition
Regulation (FAR) System).
COMPETITION FOR EPA CONTRACTS
Generally, purchases are made either by sealed bidding or competitive proposals (negotiation).
EPA seeks to obtain full and open competition for the acquisition of supplies and services
necessary to meet its requirements. Suppliers are notified of EPA's requirements that are
expected to exceed $25,000 through announcements in the "Commerce Business Daily"
published by the Department of Commerce. Commerce's website address can be found on
page 13 of this document.
Sealed bidding is performed in accordance with the FAR, Part 14 as supplemented by EPAAR.
Part 1514. The competitive proposal process (negotiation) is governed by FAR, Part 15s
supplemented by EPAAR, Part 1515.
PURCHASE CARD ACQUISITIONS
The Government's Purchase Card is also called the "Smart Pay Card". The cards are issued
to many government employees under a delegation of procurement authority to make certain
types of routine purchases. The primary usage of the card is for supplies at or below the
$2,500 threshold, which is commonly referred to as the micro-purchases level. However,
agency procurement personnel can use the card up to the level of their warrants, generally
up to $25,000 per purchase.
Each Federal agency was allowed to select from a predetermined pool of vendor banks for
its Smart Pay Card, with November 30, 1998 as the effective date. The EPA award went to
NationsBank and VISA for its purchase card program. Merchants who want information
about accepting Smart Pay Cards should contact NationsBank for assistance. The
NationsBank Customer Service phone number is 1-800-472-1424.
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Typical EPA Smart Pay Card purchases include:
© Computer parts, supplies, training
© Subscriptions, books and magazines
© Field equipment, supplies, hardware, rentals
© Laboratory equipment and supplies
© Repair services
© Fax, copier machines
© Conference room rentals
It is f.PA policy to always encourage the selection of small business concerns over large
businesses when making any purchases, including those using the Government Purchase
Card.
SEALED BIDDING
The Sealed Bidding method of acquisition is used in those instances where time permits the
solicitation, submission, and evaluation of sealed bids. Awards will be made on the basis of
price-related factors only; it is not necessary to conduct discussion with the bidders.
NEGOTIATION METHOD
The negotiation method of acquisition is used in those instances where it is impractical to
obtain the supplies or services by sealed bidding.
SMALL PURCHASES
What Is A Simplified Acquisition?
A simplified acquisition is the purchase of supplies or services valued between $2,500 and
$100,000 and up to $5,000,000 for commercial items purchased in accordance with the
Test Program for Commercial Items (see FAR Subpart 13.5)
Simplified Acquisitions Threshold
The simplified acquisitions threshold is $100,000 for the purchase of supplies or services.
The simplified acquisitions threshold for the purchase of commercial items is $5,000,000,
including options.
What is a Smart Pay Card Purchase?
A smart pay card purchase is any acquisition of supplies or services (except construction) that
does not exceed $2,500. In the case of a micro-purchase for construction, the acquisition
threshold is limited to $2,000 (see FAR Subpart 2.1).
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The use of a Government-wide commercial purchase card is the preferred method to purchase
and pay for smart pay card purchases. Agency personnel who have individual warrant
authority to use a Government commercial purchase card may make purchases up to the
smart pay card purchase threshold ($2,500). Purchases may not exceed individual warrant
limitations.
Acquisitions At or Below the Smart Pay Card Purchase Threshold
The smart pay card purchases at or below the smart pay card purchase threshold are not
limited to small businesses (see FAR Subpart 13.201).
Acquisitions Above the Smart Pay Card Purchase Threshold
The smart pay card purchase threshold is $2,500 for supplies or services, except
construction. The smart pay card purchase threshold for construction is $2,000.
Acquisitions above $2,500 and not exceeding $100,000 are set-aside for small businesses
if there are 2 or more qualified small businesses (see FAR 13.003).
Simplified acquisitions between $10,000 and $25,000 must be displayed in a public place,
including on an electronic bulletin board or any other appropriate electronic means located at
the contracting office where the solicitation is being issued. In addition, requirements at or
above $25,000 must be synopsized in the Commerce Business Daily unless one of the
exceptions in FAR 5.202{a)(1-14) exist. See FAR 5.201 and FAR 5.203 for additional
information.
What are Simplified Acquisition Procedures?
Simplified acquisition procedures are methods of making purchases of supplies or services as
prescribed in FAR Part 13. The methods include: blanket purchase agreements, fast payment
procedures, imprest funds, purchase orders, smart pay card purchases (formerly known as
bankcard), Test Programs for Certain Commercial Items, Government-wide Agency Contracts
(GWACs), and other Agency authorized methods.
Blanket Purchase Agreements
A blanket purchase agreement (BPA) is a simplified method of filling anticipated repetitive
needs for supplies or services by establishing "charge accounts" with qualified sources of
supply. Generally, a BPA should be established with local sources to make individual
purchases effectively, efficiently, and with less paperwork. BPAs shall not exceed $ 100,000
over a three year period. BPAs are designed to reduce administrative costs in acquiring
repetitive supplies or services by eliminating the need for issuing individual purchase orders.
See FAR Subpart 13.3 for additional information.
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SMALL BUSINESS VENDOR PROFILE SYSTEM
The Small Business Vendor Profile System is designed to collect and display
demographic information concerning businesses registered with EPA's OSDBU. The
system captures information relating to the following types of businesses: Small
Businesses; Small Disadvantaged
Businesses; 8(a) Certified Businesses;
Women-Owned Businesses; Large
Businesses; HUBZones, Service Disabled
Veterans, American Indian/Alaskan Native
Economic Enterprises, Veterans, Historically
Black Colleges and Universities, Hispanic
American Colleges and Universities and
Minority Institutes.
Through the System, companies can
register, review, and print small business
demographic information (i.e., Queries and Reports, Data Entry, and Document
Imaging). It contains a document-imaging component that allows you to index, search,
and retrieve documents. Imaging 95 performs the scanning for windows or any other
scanner that creates an image in a "TIP" format. Once scanned, the images are
imported and indexed by the system for retrieval.
The system also provides a variety of information, i.e., company profiles, business card
information, and specialized reports to name a few. The specialized reports include
Standard Queries, such as lists of companies that are Small Disadvantaged, Large,
Small Women-Owned, 8(a), and HBCUs. You can view these reports at the click of
a button. The specialized reports also include Ad Hoc Queries (for companies and
business cards) and it can print a Small Business Directory for any type of business
requested.
The Small Business Vendor Profile System is an Internet-based system. Participating
firms will be sent a letter of confirmation with your company's password and user-ID.
With this information you may go into the system and maintain your company's profile
at anytime to include current information.
You may register your company at OSDBU's website address:
htto://www.eDa.aov/osdbu and click the Small Business Registration button. If you
have any questions, please contact Denean Jones, Database Manager at 202-564-
4142.
The system is free of charge to all participating businesses.
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PRO-NET
The Small Business Administration (SBA) has implemented the PRO-Net System. This system
allows for self registration via the Internet. This system has replaced the Procurement
Automated Source System (PASS). You may register your company at PRO-Net's website
address: http://pronet.sba.gov.
• PRO-Net is a virtual one-stop procurement shop for
government contracting. The database is free of
charge to Federal and state agencies, and prime and
other contractors. It assists them in locating small
business contractors and subcontractors, as weli as
partnership opportunities with small businesses.
• PRO-Net is an electronic search engine for
contracting officers, as well as a marketing tool and
link to procurement opportunities and other
important information for small businesses.
• Each profile is structured like an executive business summary and includes the
company's products and services, history, references and other information important
to potential contracting entities. A key feature of the system is that participating firms
can continually update their profiles with the most current information-including new
products, services and contract awards.
• PRO-Net is an Internet-based system. Participating firms with e-mail addresses can
be sent communications and procurement opportunities electronically.
• The PRO-Net system is currently free of charge to all participating small businesses.
• Participating companies with homepages can include a link to their website in their
PRO-Net profile, providing additional information to contracting officers about the
company.
• As an electronic gateway, PRO-Net is linked to the Commerce Business Daily,
government agency homepages and other sources of procurement opportunities.
SBA is located at 409 3rd Street, S.W., Washington, D.C. 20416. You may also contact
your nearest District SBA Office with further questions.
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ELECTRONIC SERVICES - EC/EDI
What is Electronic Commerce (EC)?
Electronic Commerce (EC) is the paperless exchange of business information, using Electronic
Data Interchange (EDI), electronic mail, electronic bulletin boards, electronic funds transfer,
and other similar technologies.
What is Electronic Data Interchange (EDI)?
Electronic Data Interchange (EDI), a major part of Electronic Commerce (EC), is the computer-
to-computer exchange of business data in a standardized format.
What are the major benefits of EDI?
» Increased business opportunities through wider distribution of procurement
information;
» Improved quality through improved record-keeping, fewer errors in data,
reduced processing delays, less reliance on human interpretation of data, and
minimized unproductive time;
*• Greater competition and reduced prices;
> Savings from reduction of inventories, mailroom sorting/distribution time,
elimination of lost documents, and reduction of postage and other mailing
costs;
»• Reduced order time; and
* Better and more up-to-date information for management decision making.
What is necessary to begin using EDI?
Should you intend to become fully EDI-capable, you will need a personal computer, a modem,
ANSIX12 compliant EDI translation software or access to an EDI translation service, EDI
implementation conventions, and a subscription to a Value Added Network (VAN).1*
However, should you opt not to become fully EDI-capable, it is possible for you to exchange
EDI transactions with the Government through the use of services provided by Value Added
Service (VAS) providers. Such services (EDI-to-Fax, for example) allow you to participate in
the Government EDI-based acquisition efforts without investing in EDI-related computer
hardware and software.
'*VAN price and services list can be found on the Internet at: http://www.state.gov (there
is a link to the San Antonio (ECRC).
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Further, you will need to secure the following identification numbers for your business:
% DUNS number assigned by Dun and Bradstreet, 1800-333-0505;
^ CAGE code assigned by the Defense Logistics Service Center if you intend to do
business with the Department of Defense, 616-961 -4955; if you currently do business
with DOD, you should already have a CAGE code; and
^ Tax Identification Number (TIN) assigned by the Internal Revenue Service, 1 -800-829-
1040.
ELECTRONIC COMMERCE RESOURCES CENTERS (ECRCS)
Atlanta, CA
Bremerton, WA
Cleveland, OH
Dayton, OH
Fairfax, VA
Johnstown, PA
Oakland, CA
Orange, TX
Palestine, TX
San Antonio, TX
Scranton, NY
(404) 894-9500
(206) 478-0333
(800)991-3272
(513) 449-6060
(703) 691-1507
(800) 231-2772
(510) 748-6850
(409) 882-3950
(800) 209-2772
(210) 732-1141
(800) 572-3272
robert.fulton@me.qatech.edu
wilson@ctc.com
bvron.toth@camp.org
ihoman@coole.sinclair.edu
dervin@fecrc.com
molchanv@ctc.com
bvoung@ecrc.gmu.edu
darena@oecrc.org
mlabeau@ptxecrc.com
butch@saecrc.org
linnml @lion. uofs.edu
GSA FEDERAL SUPPLY SCHEDULES
Before directly procuring from commercial sources, EPA must determine whether or not the
required supplies or services are available from a Federal Supply Schedule established by the
General Services Administration (GSA). Firms interested in doing business as a Federal
Supply Services Contractor should contract the GSA Business Services Center at 18th & F
Streets, N.W., Room 629, Washington, D.C. 20046. GSA may also be reached on the
Internet at: http://www/fss/asa.qov.
SUBCONTRACTING
For the most part, EPA publishes in the Commerce Business Daily both intended procurements
and awards of procurements. Publishing this information is required by the Federal
Acquisition Regulation (FAR), and it allows small businesses to identify business opportunities
and potential joint venture and subcontracting partners.
The FAR requires that prime contracts exceeding $500,000 ($1M for construction of public
facility) have a Small Business Subcontracting Plan, if the Contracting Officer has determined
the procurement has components that can be subcontracted, and if the awardee is other than
a small business.
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FAR19.704 and FAR 52.219-9 require the Small Business Subcontracting Plan to express
subcontracting goals in terms of both percentages and dollars for small businesses, small
disadvantaged businesses, hubzone businesses and women-owned small businesses. The
Plan must also identify the contractor's employee who will administer the Subcontracting
Plan, with details of his/her duties; the procedures the contractor will apply to small
businesses, small disadvantaged businesses, hubzone businesses and women-owned small
businesses; the assurance that records will be maintained for review by the contracting
agency and the U.S. Small Business Administration (SBA); and the assurance that FAR-
required subcontracting reports will be submitted to the contracting agency.
The subcontracting reports are used by both the contracting agency and the Federal
Procurement Data Center to measure the contractor's achievement of the subcontracting
goals expressed in the Small Business Subcontracting Plan.
A prime contractor's performance in implementing a Subcontracting Plan and in achieving
goals expressed therein are part of "past performance" evaluations that are considered for
future awards.
COMPETITION ADVOCATE
The EPA fully supports Part 7 of Public Law 98-369, Competition in Contracting Act of 1984.
It is the Agency's policy to maximize competition. As such, the Director of the Office of
Acquisition Management (OAM) has appointed an Agency Competition Advocate who is
responsible for dismantling barriers which reduce the opportunity for promoting full and open
competition in the acquisition of products and services by the Agency. The Forecast of
Business Opportunities is available on the internet at: http://www.epa.qov/oam. Requests
for further information concerning Headquarters acquisitions should be addressed to:
Competition Advocate
Office of Acquisition Management
1200 Pennsylvania Avenue, N.W. (3801R)
Washington, D.C. 20460
(202) 564-4321
ALTERNATIVE DISPUTES RESOLUTION
The Administrative Dispute Resolution Act of 1990 and the National Performance Review of
1993 encourage agencies to use Alternative Dispute Resolution (ADR) techniques in resolving
disputes. Executive Order 12979, Agency Procurement Protest, signed October 26, 1995,
calls for agency heads to establish administrative procedures for resolving bid protests at the
agency level "as an alternative" to outside protest forums.
Formal litigation of these matters is a long and costly process that often establishes an
adversarial relationship between the Government and the private sector. ADR, on the other
hand, includes a wide range of resolution techniques, tends to be less costly, and is far more
efficient than litigation. It also keeps resolution of the matter within the control of the
disputants. The parties choose the ADR method of resolution; establish the rules of
engagement; determine who will be the decision makers; define the issues; and otherwise
control the entire process.
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Some of the ADR techniques that may be used include mediation, fact finding, and
arbitration. Resolution of the matter is approached from a "partnership" standpoint, with a
common goal to preserve the business relationship and avoid the costs and delays so often
experienced in formal litigation. We encourage the use of ADR whenever possible.
UNSOLICITED PROPOSALS
An important method of doing business with EPA is through the submission of relevant new
ideas and concepts in the form of unsolicited proposals. Familiarity with EPA programs and
projects may reveal the existence of a mutual interest. If such mutual interest exists,
submitting an unsolicited proposal may be appropriate. Unsolicited proposals should be sent
to the Grants Administration Division (GAD) for review and consideration. The address for
GAD is as follows:
Grants Administration Division
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, N.W. (3903R)
Washington, D.C. 20460
(202) 564-5315
ARCHITECT-ENGINEER
EPA has established an Architect-Engineer Selection Board to support its full range of facilities
and construction management activities. The Board reviews the qualifications of firms
interested in performing architectural or engineering work and related services. The Architect-
Engineer Selection Board maintains a list of qualified firms for various types of projects.
Firms are encourage to keep their architect-engineer qualification information current,
preferably on an annual basis. Architect-Engineer requirements are processed in accordance
with FAR Part 36 and EPAAR Part 1536.
COMMERCE BUSINESS DAILY
The EPA synopsizes its contracting requirements in the Commerce Business Daily (CBD).
Every Monday through Friday, the Department of Commerce publishes a list of proposed
Government procurement, subcontracting leads, contract awards, and foreign business
opportunities.
To subscribe to the CBD, you may contact the Superintendent of Documents, U.S.
government Printing Office, Washington, D.C. 20402, and from field offices of the
Department of Commerce. The CBD also is available at most large Public and Federal libraries
and can be accessed on the Internet at: http://www.qovcon.com.
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Office of Acquisition Management
Organization Chart
Director
(202) 564-4310
o>
co
CD
GO
Policy, Training, &
Oversight Division
(202) 564-4428
HQs Procurement
Operations Division
(202) 564-4348
Deputy Director (ACTING)
(202) 564-5020
Superfund/RCRA
Regional Procurement
Operations Division
(202) 564-4325
RTP
Contracts
Management
Division
(919) 541-3045
CINN
Contracts
Management
Division
(513)487-2026
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OFFICE OF ACQUISITION MANAGEMENT PROFILE
IMMEDIATE OFFICE - Washington, D.C.
The Office of Acquisition Management (OAM) under the supervision of the Director is
responsible for the policies, procedures, operations and support of the Agency's procurement
and contracts management program, from contract planning through closeout. In addition,
it is responsible for managing and formulating OAM's budget; performing special projects; and
managing Office activities. The Director serves as the Agency's Procurement Executive. The
Competition Advocate is responsible for reviewing acquisition plans and justifying the need
for other than full and open competition; reviewing and coordinating protest files; performing
acquisition management reviews in conjunction with PTOD; serving as liaison to the Office
of Small and Disadvantaged Business Utilization to ensure appropriate utilization of
preferential procurement programs in Headquarters procurement operations, and providing
advice to contract operations. The Automation Service Center is responsible for managing
office system hardware and software including Local Area Network (LAN); managing
operational modules of the Integrated Contract Management System (ICMS), Small Purchase
Electronic Data Interchange (SPEDI), Contract Delivery Order Tracking System (CDOTS), and
other automated procurement systems; preparing short and long-term ADP plans; and
coordinating ADP-related training.
Policy, Training and Oversight Division
The Director oversees the five services centers within the Policy, Training and Oversight
Division. The immediate office is also responsible for the Division's Administrative and
budgetary functions.
Policy Service Center
This Center is responsible for issuing and interpreting Federal and Agency acquisition
regulations and directives (including cost and financial policy); reviewing and recommending
deviations to procurement regulations; managing environmental contracting issues;
representing EPA on the Civilian Agency Acquisition Council; representing EPA on the DOD
Environmental Committee; responding to Freedom of Information Act requests; providing a
depository for bid and proposal receipt; distributing solicitations and contract documents;
maintaining standard and optional forms; and managing a centralized file room for official
contract files.
Internal Oversight Service Center
This Center is responsible for implementing the management controls process for the Division;
coordinating FMFIA reporting and guidance for OAM; conducting Acquisition Management
Reviews; conducting pre-award file reviews; maintaining the contractor past performance
system; handling conflict of interest (COD issues under all agency contracts, coordinating all
audit tracking and follow-up; administering the Agency's Government Purchase Card Program;
and coordinating with the Office of Grants and Debarment's Suspension and Debarment
Division.
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Acquisition Training Service Center
This Center is responsible for policy and guidance on the Agency Procurement Professional
Program; Contracting Officer Warrant Program; Certification of Contracting Officer
Representatives; providing acquisition/contract management training, course registration,
certification, and Contracting Officer Warrants; managing the annual contract management
awards program; and coordinating the annual Acquisition Training Conference and other
procurement training sessions.
Financial Analysis Service Center
This Center is responsible for performing financial monitoring reviews; managing direct cost
and contract-specific audits; managing and performing Contractor Purchasing System
Reviews; following-up on all contract cost audits; assisting contracting offices with resolution
of specific contract audits; assisting contracting offices and resolution of specific contract
issues, closeouts, settlements, etc.; and coordinating audit issues, audit policies, and planning
for necessary audits with DCAA and EPA's OIG.
Cost and Rate Negotiation Service Center
This Center is responsible for reviewing and approving indirect cost rates; performing quality
assurance reviews of the cost advisory functions; administering Agency cost accounting
standards matters; addressing cross-cutting administrative contracting officer issues such as
accounting billing systems, policies, etc,; and performing contract property administration
functions.
HEADQUARTERS PROCUREMENT OPERATIONS DIVISION
The Director oversees the four service centers within the Headquarters Procurement
Operations Division. The immediate office is also responsible for the Division's administrative
and budgetary functions.
Administrative Contract Service Center
This Center is responsible for placing and managing contracts in support of the Office of
Policy, Planning, and Evaluation; the Global Climate Change Program in the Office of Air and
Radiation; the Office of Administration and Resources Management with the exception of the
Office of Information and Resources Management; and the Office of the Chief Financial
Officer. This Center also processes simplified acquisition actions in support of these
programs and performs contract closeout functions.
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Program Contract Service Center
This Center is responsible for placing and managing contracts in support of the Office of the
Administrator; the Office of Prevention, Pesticides, and Toxic Substances; the Office of
International Activities the Office of Enforcement and Compliance Assurance; the Office of
the Inspector General; and the Office of General Counsel. This Center also processes
simplified acquisition actions in support of these programs and performs contract closeout
functions.
ADP Contract Placement Service Center
This Center is responsible for placing all contracts for ADP equipment, support services,
software development, and other related Information Technology supplies and services for
EPA-wide program offices. In addition, this Service Center processes ADP-related small
purchase actions.
ADP Contract Management Service Center
The Center is responsible for managing contracts for ADP equipment, support services,
software development, and other Information Technology supplies and services for EPA-wide
program offices. In addition, this Service Center performs contract closeout functions.
SUPERRJND/RCRA REGIONAL PROCUREMENT OPERATIONS DIVISION
The Director oversees the four Service Centers within the Superfund/RCRA Procurement
Operations Division. The Director is the Chief of the Contracting Office (CCO) and
responsible for those actions that require CCO approval. The reviews are conducted in the
appropriate Service Center prior to CCO review. The Director's Office is also responsible for
the Division's administrative and budgetary functions.
Headquarters Contract Service Center
This Center is responsible for placing and managing Office of Solid Waste and Emergency
Response (OSWER) Headquarters contracts involving policy and regulatory support. The
Center is broken into two components. The Placement Section and the Administrative
Contracting Officer (AGO) pilot which is located in Crystal Gateway.
Removal and Program Support Center
This Center is divided into two teams. The Acquisition Support Team (AST) and the
Infrastructure Support Team (1ST).
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The AST is responsible for providing liaison support to the regions and the (OSWER) on all
matters pertaining to Removal Program contracts, i.e., ERGS, ERRS and START. The Fee
Determination Office (FDD) is responsible for the removal program contracts which reside
within the AST for those regions not participating in the FDO pilot. In addition, the AST
processes the Delegation of Procurement Authority and warrants for the Agency's Removal
Program On-Scene Coordinators. It is anticipated that AST will place future follow-on
removal program contracts and maintain the staff and information gathering function of the
division. The AST processes all OSWER small purchase requests. Both the AST and 1ST
perform closeout functions for all existing backlog of expired OSWER Superfund contracts.
The 1ST is responsible for providing cost and financial analysis support to the Division and the
regions. (This is the function that was provided by the Washington Cost Advisory Branch
prior to the reorganization). This team is also responsible for audit tracking and management
of preaward audits with the Office of Inspector General (DIG) and Defense Contract Audit
Agency (DCAA). In conjunction with Policy, Training and Oversight Division (PTOD), the 1ST
is responsible for development and dissemination of Superfund/RCRA contractual guidance
and procedures which are of a broad, national concern and cut across programmatic, regional
and interagency lines. The 1ST is also responsible for coordinating General Accounting Office
(GAO) and OIG audit responses and Acquisition Management Review (AMR) responses. The
1ST provides headquarters Superfund cost recovery support and also performs management
integrity and ethics functions for the division.
Regional/Remedial Service Center
The Center is responsible for a variety of Superfund and Non-Superfund contract programs.
The Center places Response Action (RAC), Regional Oversight (ROC), and numerous non-
Superfund regional support contracts. The RAC contracts are managed in the regions.
However, the ROC and non-Superfund contracts are managed here within the Center. The
Center also provides Fee Determination Official (FDO) services for those remedial contracts
where the region is not participating in the FDO pilot and is the focal point for coordinating
activities and resolving problems for regional contracting offices. All regional contracting
officer warrants (with the exception of On-Scene Coordinator warrants), BPAs and regional
ratification requests are processed by this Center.
Additionally, the Center is responsible for collecting and reporting the current status of the
regional contracting workload, performance measures, award fee evaluation schedules,
program management costs and Financial Monitoring Reviews.
Enforcement and Laboratory Analysis Service Center .
This Center is responsible for Enforcement, Federal Facilities, and the Contract Laboratory
Program (CLP). This Center is responsible for placing and managing the RCRA Enforcement
and Permitting and Assistance (REPA) contracts, placing regional CERCLA Enforcement
Support Service (ESS) contracts, placing and managing the Routine Analytical Services (RAS)
contracts, placing and managing the routine Analytical Support (CLASS) contracts, the
Quality Assurance Technical Support (QATS) contracts which support OERR and
implementating the Alternative Dispute Resolution (ADR) pilot which support OSWER and
OECA.
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RESEARCH TRIANGLE PARK. NC
Director oversees the three Service Centers within the Division and the Small Business
Specialist. The immediate office is also responsible for the Division's administrative and
budgetary functions.
Office of Research and Development (ORD) Acquisition Service Center
This Center provides complete support for all requirements (excluding ADP) for ORD's
National Health and Environmental Effects Research Lab (NHEERL) and National Exposure
Research Lab (NERL) as well as ORD's Small Business Innovation Research (SBIR) Program.
This support includes acquisition planning, contract placement, contract administration and
contract closeout. The Center also provides simplified acquisition support to all ORD offices
located in RTP, NC.
Office of Air and Radiation (OAR) Acquisition Service Center
This Center provides complete contracting support for all requirements (excluding ADP) for
the Office of Air and Radiation's Headquarters office and other supported Labs/Centers of
OAR located in RTP. This support includes acquisition planning, contract placement, contract
administration, closeout. The Center also provides simplified acquisition support to all OAR
offices located in RTP, NC.
Office of Administration and Resources Management (OARM) Acquisition Service Center
This Center provides complete acquisition and contract management support (excluding ADP)
for the Office of Administration and Resources Management at RTP. This support includes
acquisition planning, contract placement, contract administration, and contract closeout. This
Center also provides simplified acquisition support to all OARM offices located in RTP, NC.
Requests for further information concerning Research Triangle Park acquisitions should be
addressed to:
Jerry Dodson
Small and Oisadvantaged Business Specialist
Office of Acquisition Management
Contracts Management Division
U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
(919) 541-2249
dodson.ierry@epamail.eoa.gov
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CINCINNATI. QH
The Director oversees the three Service Centers within the Division and the Small Business
Specialist. The Immediate Office is also responsible for the Division's administrative and
budgetary functions. The following Service Centers support the customers indicated for all
requirements except in the certain except in the certain specific instances (e.g., ADP for all
locations and simplified acquisitions for Washington locations are provided by HPOD while
the SBIR program of ORD is support by CMD-RTP).
Office of Water Service Center
This Center provides contracting support for the entire Office of Water including the American
Indian Environmental Office; the Office of Ground Water and Drinking Water; the Office of
Science and Technology; the Office of Wastewater Management; and the Office of Wetlands,
Oceans and Watersheds. Contracting support includes acquisition planning, contract
placement, contract administration and contract closeout.
Office of Research and Development Service Center
This Center provides contracting support for the Office of Research & Development's National
Risk Management Research Laboratory (Cincinnati, Ohio; Edison, New Jersey; Ada, Oklahoma
and RTF, North Carolina). The National Center for Environmental Research (Washington, DC),
the National Center for Environmental Assessment (Cincinnati, Ohio; Washington, DC and
RTP, North Carolina); and the ORD Headquarters (Washington, DC) including the Office of
Science Policy and the Office of Resources Management and Administration are also
supported. Contracting support includes acquisition planning, contract placement, contract
administration and contract closeout.
Specialized Acquisition Service Center
This Center provides contracting support for construction/A&E requirements Agencywide.
The Office of Administration and Resources Management (Cincinnati, Ohio) including the
National Service Center for Environmental Publications; the Office of Air and Radiation's
(OAR); Office of Transportation and Air Quality (OTAQ) (formerly Office of Mobile Sources
(QMS) (Ann Arbor, Ml)); and the Office of Solid Waste and Emergency Response's Emergency
Response Team (Cincinnati, Ohio and Edison, New Jersey) are also supported. Contracting
support includes acquisition planning, contract placement, contract administration and
contract closeout.
Norman White
Small and Disadvantaged Business Specialist
Office of Acquisition Management
Contracts Management Division
U.S. Environmental Protection Agency
26 West Martin Luther King Drive
Cincinnati, OH 45268
(513) 487-2024
white.norman@epamail.epa.gov
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COMMODITIES AND SERVICES ACQUIRED BY EPA
EPA is designed to serve the public and be an advocate for a safe, habitable environment.
The Agency seeks qualified small, small disadvantaged, hubzone and women-owned
businesses to participate in the acquisition process in support of this mission. The contract
spectrum includes the following:
The types of commodities and services generally acquired by EPA are:
Research and Development
• Pollution Abatement and Control
* Air Pollution
• Water Pollution
4 Other Pollution
• Biomedical
• Other Medical
• Other Research and Development
Services
• Technical Representative Services
• Laboratory Testing Services
• Other Architect-Engineer Services
• ADP Facility Management Services
4 ADP System Development and
Programming Services
• Other ADP Services
• Maintenance of ADP Equipment
• Installation of Computer and Related
Equipment
• Financial/Auditing Services
• Consulting Services
• Other Management Services
• Air Quality Analyses
• Chemical and Biological Studies/
Analyses
• Environmental Assessments
• Environmental Baseline Studies
• Environmental Impact Studies
• Water Quality Studies
• Other Special Studies and Analyses
• Quality Assurance Studies and
Analyses
• Quality Assurance Services
• Soil Studies
• Cost Benefit Studies
* Economic Studies/Analyses
• Regulatory Studies
• Feasibility Studies
• Hazardous Removal Services
• Electric Services
• Custodial - Janitorial Services
• Guard Services
• Other Housekeeping
4 Arts/Graphics Services
• Operation of a Warehouse
• Printing - Binding Services
• Reproduction Services
4 Technical Writing Services
4 Other Photo, Printing, Publishing
Services
• Lease or Rental of Equipment
• Vehicle Inspection and Maintenance
Program
4 Lodging or Conference Centers
• Scientific and Management Education
4 Vocational/Technical Training
4 Other Training
4 Maintenance, Repair, Rebuilding of
Miscellaneous Equipment
• Transportation Services
4 Construction
* Additions. Alterations to Real Property
Supplies and Equipment
4 Gases (all)
• Gas Cylinders
4 Chemical, Chemical Products
* ADP Mainframe
4 ADP Software
4 ADP Terminals
4 Lab Animals
4 Fuel Oil
4 Special Industry Equipment
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Contract Opportunities Under Superfund
BASIC CATEGORIES
REMOVAL ACTION
REMEDIAL RESPONSE
SUPPORT SERVICES
TECHNICAL
ENFORCEMENT
SUPPORT
POLICY, PROGRAM
MANAGEMENT &
ADMINISTRATIVE
SERVICES
Prime and Subcontracting opportunities are available under several
types of superfund contracts. The contracts fall into five basic
categories:
Contracts to provide EPA regional offices with (1) technical and
management assistance for the removal action program financed by
the HaEardous Substance Response Trust Fund, the corrective
action program financed by the Underground Storage Tank (UST)
Trust Fund, and the oil spill prevention program under the clean
waste action and (2) cleanup personnel, equipment, and materials
for the removal program and corrective actions financed by the UST
Trust Fund.
Contracts to provide EPA regional offices with technical assistance
and resources for cleanup activities, support of enforcement
actions, and community relations activities.
Contracts to provide special technical support services to EPA
regional and Headquarters personnel. Contracts cover safety and
technical training, demonstration of new removal technology,
laboratory and analysis and sample control, quality assurance, aerial
survey and mapping and remote sensing.
Contracts to provide support to EPA Headquarters and regional
personnel to enforce CERCLA and the Resource Conservation and
Recovery Action (RCRA).
Headquarters contracts to support formulation of Superfund policy
and implementation, as well as contracts for development and
maintenance of automated data processing (ADP) systems and
handling services at Headquarters and the regional offices. Listed
in the Contracting and Subcontracting Guide to the Superfund Program
(CSGSP) are the specific contracts currently under the Superfund program.
The contracts listed in each category are those in effect at the date the
Guide was published. As changes or additions are made, substitute
pages will be issued. To receive changes or addition pages, see the
Request Form in the Guide.
If you have any questions regarding the above information, please write to: U.S. EPA,
Contracts Management Center, Office of Emergency and Remedial Response, Office of Solid
Waste and Emergency Response, 1200 Pennsylvania Avenue, N.W. (5203G), Washington,
D.C. 20460.
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POINTS OF CONTACT FOR EPA
HEADQUARTERS, REGIONAL, & LABORATORY
PROCUREMENT TELEPHONE DIRECTORY
U.S. Environmental Protection Agency
1300 Pennsylvania Avenue, N.W.
Washington, D.C. 20460
(Ronald Reagan Building)
Mr. John C. Gheraroini, III
HQ's Procurement Operations Division (3803R)
Ms. Susan Kantrowitz
ADP Contract Placement Service Center
Mr. Thomas Caffrey
ADP Contract Management Service Center
Mr. Pat Patterson
Superfund/RCRA Regional Procurement Operation Division
Ms. Celia Vaughn
Removal and Program Support Service Center
Mr. Edward Murphy
HQ's Contract Service Center
Mr. Robert Edgeton
Regional/Remedial Service Center
Mr. Joseph Wadded
Enforcement and Laboratory Analysis Service
Mr. Tim Farris
Program contract Service Center
Ms. Linda Jordan
Administrative Contract Service Center
Ms. Denny Daniel
Automation Service Center
(202) 564-4705
(202) 564-4317
(202) 564-4712
(202) 564-4325
(202) 564-1047
(202)
(202) 564-4471
(202) 564-4458
(202) 564-4759
(202) 564-4769
(202) 564-4336
564-4456
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POINTS OF CONTACT FOR EPA (Cont.)
Ms. Fran Lewis
Office of Administration and Resources Management
John F. Kennedy Federal Building
One Congress Street
Boston, MA 02203
Region I
Mr. Ted Riverso
Office of Policy and Management
290 Broadway
New York, New York 10007-1866
Region II
Mr. Reed Grimenstein
Office of Policy and Management
1650 Arch Street
Philadelphia, PA 19107
Region III
Mr. Keith Mills
Office of Policy and Management
Atlanta Federal Center
61 Forsyth Street
Atlanta, GA 30303
Region IV
Ms. Pat Bamford
Resources Management Division
77 East Jackson Boulevard
Chicago, IL 60604-3590
Region V
Ms. Brenda Durden
Resources Branch
First Interstate Bank Tower at Fountain Place
1445 Ross Avenue
Dallas, TX 75202-2733
Region VI
(617) 918-1969
{212) 637-3410
(215) 814-5301
(404) 562-8366
(312) 886-2400
(214) 655-6510
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POINTS OF CONTACT FOR EPA (Cont.)
Mr. Larry Kalwei
Office of Policy and Management
901 North 5th Street
Kansas City, KS 66101
Region VII (913)551-7739
Mr. Clyde LoSasso
Grants, Audits and Procurement Offrce
999 18th Street, Suite 500
Denver, CO 80202-2466
Region VIII (303) 312-6527
Ms. Barbara Bycsek
Office of Policy and Management
75 Hawthorne Street
San Francisco, CA 94105
Region IX (415) 744.1626
Ms. Debbie Flood
Office of Management Program
1200 Sixth Avenue
Seattle, WA 98101
Region X (206) 553-2722
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POINTS OF CONTACT FOR EPA (Cont.)
Ms. Debra Cochran
Robert S. Kerr Environmental Research Laboratory
P.O. Box 1198
Ada, OK 74820 (580)436-8517
Ms. Ruth Ann Donovan
Central Regional Laboratory
Office of Analytical Services and Quality Assurance
839 Bestgate Road
Annapolis, MD 21401 (410)573-2662
Mr. Lee Hazel
National Fuel and Vehicle Emissions Laboratory
2565 Plymouth Road
Ann Arbor, Ml 48105 (734) 668-4200
Ms. Pam Gunter
Environmental Research Laboratory
College Station Road
Athens, GA 30303 (706) 355-8024
Ms. Betty Livingstone
Environmental Research Laboratory
200 - SW 35th Street
Corvallis, OR 97333 (541) 754-4502
Ms. Yoianda Montez
National Enforcement Investigations Center
P.O. Box 25227
Denver Federal Center - Building 53
Denver, CO 80225 (303) 236-5111x218
Ms. Kathy Fuson
Environmental Research Laboratory
6201 Congdon Boulevard
Buluth, MN 55804 (218)529-5055
Mr. Larry Hodgson
Environmental Research Laboratory
Sabine Island
Gulf Breeze, FL 32561 (850) 934-9281
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POINTS OF CONTACT FOR EPA (Cent.)
Mr. Kim Johnson
Environmental Monitoring System Laboratory
944 East Harman - P.O. Box 93478
Las Vegas, NV 89193-3478 (702) 798-2574
Mr. Rose Beasley
National Air and Radiation Environmental Laboratory
540 South Morris Avenue
Montgomery, AL 36115-2601 (334) 270-3409
Ms. Linda Distesano
Environmental Research Laboratory
27 Tarzwell Drive
Narragansett, Rl 02882 (401) 782-3121
Dr. Walt Nelson
Environmental Research Laboratory
Hatfield Marine Science Center
2111 S.E. Marine Science Drive
Newport, OR 97365-5260 (541) 867-4041
Ms. Lora Kociban
303 Methodist Building
11m and Chapline Street
Wheeling, WV 26003 (304) 234-0261
Ms. Betty Jeffery
EMSB - Annapolis Operations Section
2305 Riva Road - Suite 300
Annapolis, MD 21401 (410) 573-2777
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FINANCIAL ASSISTANCE PROGRAM
(Indirect Procurement)
AUTHORITY
EPA's Authority to adopt and implement guidelines for the procurement of supplies, construction,
equipment and services from small, minority and women-owned businesses stems directly from
Executive Orders 11625, 12138 and 12432 and applicable Federal laws.
OVERVIEW
EPA awards grants and/or cooperative agreements to States, Tribes, local governments, and
institutions of higher education, hospitals and other non-profit organizations. In rare cases, EPA is
authorized by statute to make awards to profit makers. All of these entities are referred to as
"recipients". It is EPA policy that recipients award a fair share of procurement dollars under their
grants and cooperative agreements to minority and women-owned businesses for supplies,
construction, equipment and services. Pursuant to this policy, recipients and their prime contractors
need to make good faith efforts to award a fair share of contracts, subcontractors and procurements
to small, minority and women-owned businesses primarily through outreach, recruitment and
race/gender neutral activities; and at a minimum, fulfill six affirmative steps or positive efforts. See
e.fl.,40 CFR §§31.36(e), 30.44(b). To assist these businesses in participating in procurement under
EPA assistance awards each EPA Regional, Headquarters, Cincinnati and Research Triangle Park Office
has a Minority Business Enterprise and Women's Business Enterprise (MBE/WBE) Coordinator who can
provide information and assistance to firms interested in doing business under EPA financial assistance
programs.
FAIR SHARE DEFINITION
A fair share or a fair share objective is an amount of funds reasonably commensurate with the total
project funding and the availability of qualified minority business enterprises (MBEs) and women-owned
businesses (WBEs), taking into account experience on EPA-funded projects and other comparable
projects in the area. Availability is a measure of the approximate representation and capacity of MBEs
and WBEs in the relevant labor market and qualified to do the work. A fair share objective does not
constitute an absolute requirement, but commitment on the part of the recipient or prime contractor
to make good faith efforts to use MBEs and WBEs to achieve the fair share objective.
GUIDANCE
EPA issued a revised edition of its "Guidance for Utilization of Small, Minority and Women's Business
Enterprises in Procurement Under Assistance Agreements" - 6010 in July 1997. This document is
available on the Internet at OSDBU's Website address:
http://www.epa.qov/osdbu/complete_auidance.pdf and a limited amount of hard copies are available
from OSDBU upon request. When performing contracts under EPA grants and cooperative agreements,
you should be aware of applicable contract provisions contained in 40 CFR Parts 30 and 31,
§§31.36(1) and 30.48.
DATABASES
The following website is available to assist grant recipients:
http://www.epa.Qov.enviro/html/Qics/i ndex.html
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GRANTS ADMINISTRATION DIVISION
The Grants Administration Division (GAD) is the National Program Manager for grants
management. The division is responsible for developing, issuing and implementing policy for
all Agency assistance programs including grants, cooperative agreements, and Interagency
agreements. It is also responsible for the review, award, and management of all EPA
Headquarters administered assistance, and for providing quality grants information. The
Division consists of three Branches - a Policy, Information and Training Branch and two
Operation Branches.
The Policy, Information and Training Branch develops, issues, interprets, and implements
policy for all assistance programs; has overall responsibility for grants management officer
and project officer training for the Agency; provides quality information on EPA's
environmental assistance programs and is responsible for the administrative management of
the Grants Information Control System, the Agency's central grants database.
The two Grants Operations Branches serve as Grants Management Offices (GMOs) and award
assistance agreements and interagency agreements for all headquarter administered projects.
They are responsible for assuring proper legal and administrative management from
preapplication through closeout. Headquarters awards include most research, demonstration,
training and fellowship awards and account for approximately 10% of the Agency's
assistance budget.
EPA's 10 Regional Offices also serve as Grants Management Offices for the award of
assistance agreements and interagency agreements for all Regionally administered projects
and are responsible for assuring proper legal and administrative management from
preapplication through closeout. Regional awards go primarily to State, Tribal and local
governments and account for most of the EPA's assistance dollars. Programs include the
State Revolving Fund/Construction Grants Program averaging about $2 billion per year in
awards, the continuing environmental program grants with annual awards in excess of $600
million, and Superfund with annual awards of about §80 - $90 million.
If you have any questions regarding grants please contact GAD at (202) 564-5305 or visit
their website at: http://www.epa.qov.qad.htm.
Point of Contacts
Ronald Reagan Building
1300 Pennsylvania Avenue, N.W. (3903R)
Washington, D.C. 20044
Mr. Bruce Feldman Ms. Mildred Lee Mr. Scon McMoran
Policy, Information & Training Branch Grants Operations Branch A Operation Branch B
(202) 564-5308 (202) 564-5320 (202) 564-5376
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ASSISTANCE PROFILE
From a historical perspective, Federal Assistance stems back to the agricultural and land
grants our government offered to States in the late 1800s. In the 1970's Congress was
concerned over the perceived misuse of assistance agreements in government. Many
agencies were misusing assistance agreements to circumvent competition and other
procurement rules. To address these problems and develop consistency and uniformity
government-wide, Congress passed the Federal Grant and Cooperative Agreement Act of
1977. (P.L. 95-224, 31 U.S.C. 6301 et sea).
This Act does three things:
* Establishes Decision Criteria
* Distinguishes Between Procurement and Assistance
* Distinguishes Between Grants and Cooperative Agreements
For the purpose of understanding EPA assistance and understanding when to use which
award instrument, we will only address the latter 2 points of the Act.
Acquisition (Contract) vs. Assistance (Grant/Cooperative Agreements)
It is very important that when you apply for EPA extramaural funds that the award instrument
you are requesting is consistent with the activities in your Workplan or scope of work.
Acquisition is used when the principal purpose of the activities in your Workplan is to acquire
property or services for the direct benefit or use of the Federal Government. Assistance is
used when the principal purpose of the Workplan helps you carry out a program or project
that provides a public benefit. In contrast, acquisition helps EPA perform its function as an
Agency.
How does one determine direct benefit? How does one determine support and stimulation
for a public purpose? The basic difference between an assistance agreement and a contract
is that an assistance agreement helps you, a contract helps EPA. To determine direct benefit
you must ask yourself who is the direct beneficiary of the proposed project? In some cases
EPA will receive what we call, incidental benefit or use; but you are concerned with direct
benefit. When applying for EPA assistance, you should make it clear in your proposal that
you are requesting assistance from EPA to carry out your project rather than helping EPA
conduct its activities.
Additional information is contained in EPA Order 5700-1, Policy for Distinguishing between
Assistance and Acquisition, March 22, 1994, which can be obtained from the EPA Grants
Administration Division (GAD).
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Grants vs. Cooperative Agreement (CA)
Once you have chosen assistance as the proper award mechanism, then you must determine
whether to apply for a grant or a cooperative agreement. In actuality, there are many
similarities. They both look the same, have similar administrative requirements and are
awarded by the same process. However, there is one distinct difference. A grant is used
when there is limited Federal involvement or participation during the performance of a specific
project. A cooperative agreement is used when there is substantial Federal involvement or
participation during the performance of a given project. Hence, the major difference between
the two, is the level of Federal involvement. NOTE: A cost share or match requirement is not
a determinant of involvement, but may merely be a statutory or regulatory requirement.
EPA publishes descriptions of its financial assistance programs in the Catalog of Federal
Domestic Assistance, which is available through the Government Printing Office or by Internet
at the website address: http://asDe.os.dhhs.gov/cfda/index.htm. Questions regarding EPA's
financial assistance programs should be directed to GAD.
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HOW DO I...
APPLY FOR EPA ASSISTANCE...
To apply for EPA Assistance (a grant or a cooperative agreement) an applicant must qualify
under the category as an eligible recipient. U.S. EPA makes assistance awards to State and
Local government, Tribal Governments, Nonprofit Organizations, colleges and Universities and
others. Some assistance is competitive, some is non-competitive. This choice is dependent
on the specific EPA Program.
If you fail under one of these categories, you need to inquire to see if your project falls in
alignment with the current goals and objectives of U.S. EPA. To obtain this information a
potential applicant can do the following:
1. Check the Code of Federal Domestic Assistance (CDFA) to see if the specific
EPA program of interest has a listing that may give you guidance regarding
goals and objectives for that Fiscal Year; or
2. Contact OSDBU so we may connect you with the specific EPA program office
that encompasses the type of environmental activity reflected in your proposed
project. Inquire as to the funding goals of that program and express your
interest in obtaining EPA Assistance. If the project aligns with the program's
current goals and objectives, request an EPA Application Kit for Federal
Assistance. (See Attached).
APPLICABLE CDFA NUMBERS
66.470 Hardship Grants in Rural Communities
66.500 Consolidated Research Programs
66.605 Surveys, Studies & Special Purpose
66.606 Training & Fellowships
66.607 Sustainable Development Challenge Grants
Page 31
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PREPARE A PROPER APPLICATION...
When you receive your "Application Kit for Federal Assistance", draw your attention to the
SF-424 Application. This 4 page Application and Assurances are one of the most important
parts of an applicants submittal.
The fact sheet of the SF-424 should always have a Federal and a Non-Federal Share listing
in Section 15 entitled ESTIMATED FUNDING. The amount that you are requesting from EPA
should be displayed in block A entitled FEDERAL. (See Figure 1A) If there is an applicant
contribution based on a cost sharing ratio, it should be displayed in block B entitled
APPLICANT. Note: If matching funds in your application are coming from other sources, they
should be displayed in the appropriate box. (See Figure 16)
16, ESDMATiDSJNiaNSi If*** r
a. Federal
b. Applicant
c. State
d. Local
e. Other
f. Program Income
g. TOTAL
$137,500
7,500
$145,000
1 5. isiriMATiD FEINDtWG
a. Federal
b. Applicant
c. State
d. Local
.e. Other
f. Program Income
g. TOTAL
$137,000
5,000
3,000
$145,000
(FIGURE 1B)
(FIGURE 1A)
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Page 2, Section A entitled BUDGET INFORMATION should reflect the Federal and Non-Federal
shares in the appropriate blocks. The total of both should be displayed in the column entitled
TOTAL. Note: If the Non-Federal share consists of more than one source, the column entitled
Non-Federal should reflect the total amount of all these sources.
BUDGET INFORMATION - Non-Construction Programs
Section A - Budget Summary
Estimated Unob. Funds
Cram
Program
Function -or
! ^Activity
: * -<*)
1.
2.
3.
4.
5. TOTALS
Cat 01 Federal
Domestic
Assist.
Number
,-«
Federal
ic)
s
$ :
Non-Federal
W)
$
). - "- ;
$
Federal 1
le)
$136,750
$
Non-Federal
<«
$7,250
$
i§i-
Total
#> 4.-.
$145,000
$
(FIGURE 1C)
Page 33
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Section B, Column D entitled Budget Categories should reflect the cost attributed to each
object class personnel, fringe, travel, etc. Each object class should include the total Federal
and Non-Federal shares. {See Figure 1 D)
SECTION B - BUDGET CATEGORIES
Grant Program, Function or Activity
6. Object Clsss
• • Catngoffes
a. Personnel
b. Fringe
c. Travel
d. Equipment
e. Supplies
f. Contractual
g. Construction
h. Other
g. Total Direct
Charges
j. Indir. Charges
k. TOTAL (SUM
OF 6i & gj)
7. Program Income
<1| o;
•&>
- JLZ)
* '«Vf
"*\% ^ „ ^
(41
TOTAL ^
i® -
$100,000
25,000
5,500
0
0
0
0
10,000
140,000
5,000
145,000
Page 34
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In addition to the application; there are a number of CERTIFICATIONS that must be signed
and returned with any application for funding. These certifications are usually a part of our
Application Kit For Federal Assistance: and can also be obtained from your specific EPA Grant
Office. (See Headquarters contacts on pg. 24) (CHECK ON CURRENT PAGE #)
These certifications include Assurances, Debarment and Suspension, Anti-Lobbying, Civil
Rights (SF-4700). There must also be a brief narrative in regard to your most recent audit.
The explanation should include: dates of Audit, Cognizant Federal Agency, and the date in
which the audit was submitted to that Cognizant Federal Agency. The Cognizant Agency is
the Federal agency in which you receive the most Federal funds.
If an applicant is claiming indirect costs, they should have a Current Negotiated Indirect Cost
Rate in place for the rate they are charging. INDIRECT COSTS are defined as charges that
cannot be directly charged to the grant such as space, electricity, etc. This rate is negotiated
between the applicant and their Cognizant Federal Agency. A copy of your signed Current
Negotiated Indirect Cost Rate should be included in your submittal for assistance.
Prepare a Detailed Budget Narrative...
In conjunction with your application; EPA requests a DETAILED BUDGET NARRATIVE. The
budget narrative is a detailed explanation of costs proposed in the budget categories. This
narrative must be consistent with the cost claimed in each object class on your application.
Like the budget page of the application, this narrative should consist of both Federal and Non-
Federal shares combined.
To assist you in properly constructing your DETAILED BUDGET NARRATIVE refer to the Guide
to Preparing Object Class Category Budget Detail (See Figure 1F). This guide should assist
you with the explanation of costs reflected in your application. A sample detailed budget
narrative has been included as a reference guide. (See Figure 1G)
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Guide to Preparing Object Class
Category Budget Detail
The Standard Form (SF) 424A, Section B - Budget Categories, should be supported in at least
the level of detail described below.
When there is a match or cost- sharing requirement, the provisions of 40 CFR 30.23 or 40
CFR 31.24 must be met. All in-kind contributions used to meet match or cost-sharing
requirements shall be fully documented and must comply fully with 40 CFR 30.23 or 40 CFR
31.24.
Allowability of all costs are governed by applicable cost principles set forth in 40 CFR 30.27
or 40 CFR 31.22 and applicable OMB Circulars.
Personnel - Line 6a: Identify each type of staff position by job title and the number of
employees in each type of staff position. Enter the annual salary for each type of staff
position, percentage of time assigned to the project and total cost for the budget period. Do
not include costs of consultants or personnel costs of subgrantees or subcontractors.
Fringe Benefits - Line 6b: Enter the total cost of fringe benefits unless treated as part of an
approved indirect cost rate. Provide break-down of amounts and percentages that comprise
fringe benefit costs, such as health insurance, F.I.C.A., retirement insurance, etc.
Travel - Line 6c: Identify the number and purpose of trips for program activities, e.g..
inspection, monitoring, enforcement, etc., and administrative activities, e.g.. attendance at
specific conferences, meetings, training, etc. Specify the cost for each activity and the basis
for determining the cost. For example, list the number of trips and average cost per trip
based on last year's data or specify the location, duration and estimated cost of attending an
annual conference, based on airfare and applicable per diem rates. Enter the total cost for
travel.
Equipment - Line 6d: Identify each item of equipment to be purchased which has an estimated
acquisition cost of $5,000 or more per unit and a useful life of more than one year. An
applicant may use its own definition of equipment provided that such definition would at least
include all equipment defined above. Enter individual, as well as, total cost for equipment.
No equipment may be purchased without the expressed approval of U.S. EPA. The
assistance agreement shall indicate the total approved amount of the agreement which may
be expended for equipment. Any equipment purchases proposed after award must be
approved by U.S. EPA in writing.
If equipment purchased wholly or in part with assistance agreement funds is to be used on
more than one project/program, acquisition costs or usage fees must be approved and
allocated properly.
(FIGURE IF)
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Supplies - Line 6e: List ail tangible persona! property other than "equipment" as defined
above. The budget detail should be as descriptive as possible. Categories of supplies to be
procured, e.g., laboratory supplies or office supplies, are acceptable if items cannot be
reasonably separated. Enter individual, as well as, total cost of supplies.
Contractual - Line 6f: Identify each proposed contract and specify its purpose, nature, period
of performance and estimated cost. Do not include procurement contracts which are
reflected in other object class categories such as equipment, supplies, etc. If funds allocated
to this object class category include proposed expenditures not usually categorized as
services to be procured in the market place, explanatory footnotes must be included. Enter
total cost for contracts.
Construction - Line 6g: Construction costs are generally not allowable in non-construction
assistance programs. U.S. EPA will provide additional guidance upon request.
Other • Line 6h: List each item of cost in sufficient detail for U.S. EPA to determine its
reasonableness and allowability. Such costs, where applicable, may include, but are not
limited to, insurance, space rental, equipment rental, printing, publication, computer use,
training fees, utilities, telephone, as well as, any cost an applicant customarily identifies as
other costs. Enter individual, as well as, total costs.
Total Direct Charges - Line 6i: Show the totals of Lines 6a through 6h.
Indirect Charges - Line 1: Enter the total amount of indirect costs. If indirect charges are
budgeted, indicate the approved rate and its basis on line 22 of section F - Other Budget
Information (SF 424A). It is important to note that when indirect costs are budgeted, those
costs included in the direct cost pool cannot also be charged as direct costs to the assistance
agreement. Finally, include a copy of your current indirect cost agreement which reflects the
approved rate.
(FIGURE 1F)
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SAMPLE DETAILED BUDGET NARRATIVE
Sheet 1
MICHIGAN DEPARTMENT OF NATURAL RESOURCES
UNDERGROUND STORAGE TANK DIVISION
FY-96 COOPERATIVE AGREEMENT-WORK PLAN
FTES
1
i
18
2
0.96044
1
4
27.96044
Personnel
Classifications
EQA 9
EQA10
EQA 11
EQA 12
EQA 13
GEO 9
GEO 11
Total
Annual
Rate
$16.91
$17.29
$20.02
$21.02
$23.83
$16.92
$20.02
Annual
Rate x
2080
$35,172.80
$35,963.20
$41,641.60
$45,344.00
$49,566.40
$35,193.60
$41,641.60
Salaries and
Wages
$35,172.80
$35,963.20
$749,548.80
$90,688.00
$47,605.55
$35,193.60
$166,566.40
$1,160,738.00
Fringe
Benefits
$13,365.66
$13,666.02
$284,828.54
$34,461 .44
$18,090.11
$13,373.57
3,295.23
$441,0891.00
Travel
Site Visits and District Coordinators Meetings
Milage 20 Persons x 64.133 x 3 Days
x 28 WKS x $0.25/Mi
Supplies
4' Castings $20.160.00
1 * Castings $2,370 .00
1 • Well Screens $6,300.00
Miscellaneous Field Supplies Gloves, TYVAC, Ice
Contractuals
Ml Dept. of Attomey-LUST Litigation
Laboratory*
Copying 858 PKTS x $6.993/PKT
Title Searches 40 Sites x $200/Srte
Waste Disposal
GEO-PROB 13 Sites x 4 Days/Site x S3 1 /Day + ($.65/mi x 243 mi)
Drill RIG 13 Sites x 3 Days/Site x $851 /Day + <$.642/mi x 243 mi)
$6,324.00
$50,000.00
$52,759.00
$6,000.00
$8,000.00
$78,000.00
$1,770.00
$3,471.00
Audit Cost
0.04% of Gram Total
Indirect Cost
1 5.38% of Salaries and Fringe Benefits
Total LUST Budget for FY'96
TOTAL
$48,538.00
$49,629.00
$1,034,377.00
$125,149.00
$65,696.00
$48,567.00
$229,862.00
$1,601,819.00
$26,935.00
$35,154.00
$200,000.00
$844.00
$246,359.00
$2,111,111.00
•Laboratory Breakdown
QUANTITY
17
83
200
TEST
8260 +
BETX
PC13only
MATRIX
SEDIMENT
SEDIMENT
SEDIMENT
COST
$143.47
$60.00
$226.70
TOTAL
TOTAL
$2,439.00
$4,980.00
$45,340.00
$52,759.00
(Figure 1G)
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FORMULATE AN APPROVALABLE WORKPLAN...
The WORKPLAN or SCOPE OF WORK is an in-depth description of the activities proposed in
the project. It is usually developed into two parts: 1) A history of the problem and the
proposed action; and 2) A statement of work indicating compliance with Regulatory
requirements. This document is probably the single most important portion of your submittal
for EPA Assistance.
In constructing an approval Workplan the following criteria must be throughly addressed:
*)• Objectives/End products of the project
•)- Actions/Steps to achieve Outputs/Deliverables
*}- Estimated cost for all objectives and end products
•)• Whether or not the project will generate the income
*}- Equipment List
»)• Estimated Work Years
•)• Time Table or Schedule of the project
»>• Geographical Location of the project
•}• Reporting
»>• Key Person Biographical Sketch(es)(0n Research Assistance)
Conclusion
If you follow these easy steps you can enhance the quality of your submittal for EPA
assistance and reduce delays in the realm of processing and reviewing for U.S. EPA.
Page 39
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UNITED STATES
ENVIRONMENTAL
PROTECTION
AGENCY
APPENDIX A
KT FORMS!
January 1998
Page 40
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Dear Applicant:
An application kit for submitting a request for Federal Assistance to the U.S. Environmental
Protection Agency (EPA) is attached. Please complete all application procedures as instructed
in this kit and refer to the enclosed checklist to ensure your application is complete prior to
submission.
Please consider whether your proposal is for acquisition or assistance. The Federal Grant and
Cooperative Agreement Act requires Federal agencies to use a contract to acquire property
or services that directly benefit the Federal government. A grant or cooperative agreement
must be used to transfer money, property, services, or anything else of value that supports
or stimulates an activity to accomplish a public purpose of assistance authorized by Federal
statute. The SF-424 is only used for submitting proposals for Federal assistance.
The direct beneficiary is the determining factor as to whether a proposal is for acquisition or
assistance. If the direct beneficiary is a state or local government or other recipient, and the
purpose of the support or stimulation is authorized by Federal statute, then a grant or
cooperative agreement is the proper legal instrument to use. If the direct beneficiary is EPA,
then a contract is the appropriate legal instrument to use, and an SF-424 is not appropriate.
Please direct questions about completing your application, or general inquiries about EPA's
assistance program, the Grants Administration Division (GAD) at (202) 564-5305.
Grants Administration Division
Page 41
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TABLE OF CONTENTS
Applicable EPA Regulations and Description 3
Supplemental Information: Application For Federal Assistance 6
(Standard Form 424)
Checklist of Application Items to be Submitted 10
Application Receipt Letter 11
Key Contact List 12
SF-424 "Application for Federal Assistance", Including Instruction and Assurances (SF-
424A and SF-424B)
Certification Regarding Debarment and Suspension
Certification Regarding Lobbying, Including Disclosure of Lobbying Activities
Pre-Award Compliance Review Report
MBE/WBE Utilization Under Federal Grants
EPA Mailing Address
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ENVIRONMENTAL PROTECTION AGENCY REGULATIONS AND DESCRIPTION
40 CFR Part 7 and 12 - Applicable To All Applicants
NONDISCRIMINATION IN PROGRAMS RECEIVING FEDERAL ASSISTANCE FROM THE US
ENVIRONMENTAL PROTECTION AGENCY
This rule implements statutes which prohibit discrimination on the grounds of race, color;
national origin, sex and handicap.
This rule stipulates that no person shall be excluded from participation in, be denied the
benefits of or be subjected to discrimination under any program or activity receiving EPA
assistance on the basis of race, color, national origin, or on the basis of sex or handicap in
any program or activity receiving EPA assistance.
40 CFR Part 29 - Applicable To All Applicants
INTERGOVERNMENTAL REVIEW OF THE US ENVIRONMENTAL PROTECTION AGENCY
PROGRAMS AND ACTIVITIES
These regulations implement Executive Order 12373, "Intergovernmental Review of Federal
Programs". These regulations apply to all EPA programs.
You must contact your State's Single Point of Contact to find out if the program was selected
for coverage by the State process and, if the program was selected, to receive information
about your State's review process requirements and procedures. If you don't know who your
Single Point of Contact is, please call (202) 564-5305.
40 CFR Part 30 - Applicable To Other Than State and Local Governmental Applicants
GENERAL REGULA TION FOR ASSISTANCE PROGRAMS FOR ALL APPLICANTS OTHER THAN
STATE AND LOCAL GOVERNMENTS
These regulations inform applicants, other than state and local governments, how to apply
for and manage an EPA project, describes EPA involvement in the process, and identifies
recipient's responsibilities.
40 CFR Part 31 - Applicable To All State and Local Government Applicants
UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
This part establishes uniform administrative rules for Federal grants and cooperative
agreements to State, local and Indian Tribal governments.
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40 CFR Part 32 - Applicable To Ail Applicants
GOVERNMENT-SIDE DEBAFtMENT AND SUSPENSION (NONPROCUREMENT) AND
GOVERNMENT-SIDE REQUIREMENTS FOR DRUG-FEE WORKPLACE (GRANTS)
Subpart A - General
Executive Order 12549 provides for a government-wide system of nonprocurement (grants
and cooperative agreements) debarment and suspension. A person who is debarred of
suspended is excluded from federal financial and nonfinancial assistance and benefits under
federal programs and activities. Debarment or suspension of a participant in a program by
one agency has government-wide effect.
Subpart f - Drug-Free Workplace Requirements (Grants)
The Drug-Free Workplace Act of 1988 requires that all grantees receiving grants from any
Federal agency certify to that agency that they will maintain a drug-free workplace, or in the
case of a grantee who is an individual, certify to the agency that his or her conduct of grant
activity will be drug-fee. This government-wide rule implements the statutory requirements.
It directs that grantees take steps to provide a drug-fee workplace in accordance with the
Act.
40 CFR Part 34 - Applicable To All Applicants
NEW RESTRICTIONS ON LOBBYING
This interim final rule is in response to section 319 of Public Law 101-121. Section 319
prohibits recipients of Federal contracts, grants, and loans from using appropriated funds for
lobbying the Executive or Legislative Branches of the Federal Government in connection with
a specific contract, grant, or loan.
40 CFR Part 40 - Applicable To All Applicants Applying For
RESEARCH AND DEMONSTRATION GRANTS
This part establishes mandatory policies and procedures for all EPA research and
demonstration grants. The provisions of this part supplements the EPA general grant
regulations and procedures (40 CFR Part 30).
40 CFR Part 45 - Applicable To All Applicants Applying For
TRAINING ASSISTANCE
This part establishes the policies and procedures for the award of training assistance by EPA.
Assistance agreements are awarded under this part to support students through traineeships
for occupational and professional training, and to develop career-oriented personnel qualified
to work in occupations involving environmental protection and pollution abatement, and
control.
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40 CFR Part 46 - Applicable to All Applicants Applying For
FELLOWSHIPS
This part establishes the policies and procedures for all US Environmental Protection Agency
fellowships. Fellowships awarded under this part are intended to enhance the capability of
State or local agencies responsible for environmental pollution control or other agencies with
similar pollution control responsibilities; provide educationai renewal opportunities for their
career oriented personnel to achieve additional knowledge through academic professional
training and to bring new people into the environmental control field.
40 CFR Part 47 - Applicable To All Applicants Applying For
NA TIONAL ENVIRONMENTAL EDUCA TIONA CT GRANTS AND COOPERA TIVEA GREEMENTS
This part codifies policy and procedures for the award of grants or cooperative agreements
under section 6 of the NEEA. Grants awarded under this part are educational activities and
training activities involving elementary, secondary, and postsecretary students, as such terms
are defined in the State in which they reside, and environmental education personnel, but
does not include technical training activities directed toward environmental management
professionals or activities primarily directed toward the support of noneducational research
and development.
Should you need copies of the above cited regulations please call (202) 564-5305 or you may
access a copy through the World Wide Web at: http://www.epa.gov/ogd/regs.htm.
SUPPLEMENTAL INFORMATION:
Application For Federal Assistance (Standard Form 424)
Please refer to the SF-424 instructions. The following discusses items that require additional
attention.
Item 5: If the individual you list under "Name and telephone number of the person to be
contacted for matters involving this application", is not the Project Manager, please provide
the Project Manager's name, title, address, telephone number, and facsimile machine number
on the key contact list.
Additionally, please submit a biographical sketch for the Project Manager. The biographical
sketch should include educational and background' information, and other qualifying
experience relevant to the project. Also, list other key personnel engaged in the project, and
detail each person's training or discipline. Identify the Project Manager's other Projects, and
the amount of time that he or she devotes to each project. Provide employment summaries
for the Project Manager and the key personnel. The employment summaries should include
contracts and consultancies; for the present and for the past two years.
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Item 9: List EPA personnel who have provided you with preapplication assistance along with
their telephone number and the program office.
Item 10: List the Catalog of Federal Domestic Assistance (CFDA) Number and Title. If you
do not know the CFDA Number and Title, leave this item blank.
hem 13: The "Start Date" and "Ending Date" should represent the time frame in which the
entire scope of work detailed in the application will be completed, and during which the
recipient may expend or obligate Federal funds.
Item 15: List the estimated funding amounts for the entire project and for each proposed
budget period. The "Estimated Funding" amounts should include the amount requested from
EPA, and your organization's cost sharing amount, if required.
Item 16: Applicants should contact the State Single Point of Contact (SPOC) for Federal
Executive Order 12372 to determine whether the application is subject to the State
intergovernmental review process.
Item 18: The authorized representative listed here will receive an official award agreement if
EPA awards a grant or cooperative agreement in response to your application.
DESCRIPTION OF PROJECT: Include a section which addresses the following:
Objective:
(1) Describe the primary and secondary project objectives.
(2) Identify relevant physical, economic, social, financial, institutional, or other problems.
(3) Include supporting documentation from concerned interests, other than the applicant.
(4) Include and footnote relevant data based on planning studies.
Results or benefits expected:
Identify results and benefits that will accrue to the project. Include the benefits that will
accrue to the recipient, the pollution served, the public, and the environment. For example,
compliance with water quality standards, or ambient air quality standards, advancements in
the state of the art of pollution abatement, etc.
Approach:
(1) Provide a work plan detailing how the scope of work will be accomplished, and
detailing the proposed project. Cite factors that could potentially accelerate or
decelerate the work. Indicate why this approach has been chosen rather than
alternative approaches. Describe any unusual project features such as design or
technological innovations, cost or time reductions, or extraordinary social and
community involvement.
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(2) Describe ail available facilities for carrying out the project.
(3) List all non-Federal funds sources and facilities to be used to perform the proposed
project.
(4) Provide a chronological schedule of accomplishments, progress, and milestones that
are anticipated over the project's duration.
(5) Indicate who will carry out each of the work plan's elements. Include supporting
agencies, consultants, and contractors.
(6) Describe sampling and data collection procedures, analytical methods and methods to
evaluate the project's results.
General Project Information:
(1) Identify the kinds of data to be collected and maintained, and discuss the evaluation
criteria for the project's results. Indicate whether research or demonstration will
involve human subjects or research animals.
(2) Discuss this project's effect on or relationship to work planned, anticipated, or in
process, by the grantee, or Government agencies. Discuss the Federal, State, and
local programs with which the work will be coordinated, and describe the extent and
nature of the coordination.
QUALITY ASSURANCE:
If your project involves environmentally related measurements or data generation, you must
develop and implement quality assurance practices. These practices must sufficiently
produce quality data to adequately meet project objectives, and to minimize data loss due to
uncontrolled conditions or malfunctions. State, local, or Indian tribal government applicants
should refer to EPA regulation 40 CFR 31.45. All other applicants should refer to EPA
regulation 40 CFR 30.54.
BUDGET:
The application includes Standard Form 424A: "Budget Information - Non-Construction
Programs". Please complete only Section B: "Budget Categories", and Section F: "Other
Budget Information" on Standard Form 424A. If you have budgeted indirect costs in Section
B, please attach a copy of your indirect cost rate agreement which has been negotiated with
a cognizant Federal agency. Please indicate under "remarks" in Section F, that your indirect
cost rate is attached.
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Guidance for completing a Detailed Budget to Supplement Standard Form 424A
In addition to completing Standard Form 424A, a separate, detailed budget is required.
Please follow the guidelines listed below.
Detailed Itemization of Costs:
Personnel: List all project participants' titles. Indicate the time percentage that each individual
will devote to this project during the entire project period. The budgeted cost should be
derived as follows: multiply each person's time percentage by his or her annual salary.
Indicate this calculation for each personnel member. The sum of each person's costs should
be reflected as total personnel costs. Record total on Standard Form 424A, Section B, Line
A.
Travel: Indicate the budgeted travel's purpose and the destination of each trip and indicate
the number of travelers. Record total on Standard Form 424A, Section B, Line C.
Equipment: Provide a list of equipment to be purchased. Record total on Standard form
424A, Section B, Line D.
Supplies: Itemize budgeted supplies unless their total represents less than two percent of total
costs. Record total on Standard Form 424A, Section B, Line E.
Contractual: Specify the nature and cost of contractual services. EPA may review the
contracts for personal services before the contracts are executed, to assure that all costs are
reasonable and necessary to the project. Record total on Standard Form 424A, Section B,
Line F.
Construction: If your budget includes construction costs, contact the Grants Administration
Division for additional instructions while completing your application. Record total on
Standard Form 424A, Section B, Line G.
Other: Itemize all costs included here. Include items here which can not be scheduled in the
more specific categories. If you are applying for a training project, the itemization should
include a cost breakdown of trainee tuition and fees, book allowances, stipends, and travel.
Record total on Standard Form 424A, Section B, Line H.
Indirect Costs: Please indicate how indirect changes were calculated for this project, and
remember to attach a copy of your current indirect cost rate agreement. Record total on
Standard Form 424A, Section V, Line J. If an organization has not previously established an
indirect cost rate with another Federal Agency, please specify on Standard Form 424A,
Section A, Line J.
Program Income: If any income is expected to be generated from this project, insert the
estimated income amount here. Do not add or subtract this amount from the total project
amount. Your detailed direct cost itemization should show this income's nature and source.
Record total on Standard Form 424A, Section B, Line 7.
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CHECKLIST OF APPLICATION
ITEMS TO BE SUBMITTED
d SF-424 Application for Federal Assistance, with original signature, (including
Assurance for Non-Construction Programs)
D Number of Copies: Original and 2 copies
d Assurances Non-Construction Programs Certification
E Debarment and Suspension Certification
D Certification Regarding Lobbying (if over $ 100,000} and SF LLL, if applicable
D EPA Form 4700-4 Preaward Compliance Review Report
n Narrative Statement (Work Plan)
n Quality Assurance Narrative Statement, if applicable
H Detailed Itemized Budget
n Copy of Negotiated Indirect Cost Rate Agreement
d Key Contact List
D Biographical Sketch
O Application Receipt Letter, with your address filled in
D Additional Information to be Submitted, if applicable
(1) If you are submitting your application under the Federal Demonstration Project, please
indicate it in block 11.
(2) If your project requires an Environmental Impact Statement or Environmental
Assessment, or both, please indicate it on a separate sheet of paper.
(3) If your project involves human testing studies, please indicate it on a separate sheet
of paper.
(4) If your project involves animal testing studies, please indicate it on a separate sheet
of paper.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
-•veo S7*.
>> <*. OFFICE OF
"£> ADMINISTRATION
5 AND RESOURCES
O MANAGEMENT
Application Receipt Letter
Dear
The U.S. Environmental Protection Agency's Grants Operations Branch has received
your application. The EPA identification number assigned to your project is .
is this project's Grants Specialist. If you have any questions.
please contact your grants specialist at (202) 564-_
Sincerely,
Barbara Rochon
Grants Administration Division
Page 50
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KEY CONTACTS
Authorized Representatives: Original awards and amendments will be sent to this individual for review and acceptance
unless otherwise indicated.
Name:
Title:
Complete Address:
Phone Number: Fax:
E-mail Address:
Payee: Individual authorized to accept payments.
Name:
Title:
Complete Address:
Phone Number: Fax: _____
E-mail Address:
Administrative Contact: Individual from Sponsored Programs Office to contact concerning administrative matters (i.e.,
indirect cost rate computation, rebudgeting requests, etc.)
Name:
Title:
Complete Address:
Phone Number:
E-mail Address:
Project Manager: Individual responsible for the technical completion of the proposed work.
Name: .
Title:
Complete Address:
Phone Number: Fax:
E-mail Address:
Page 51
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INSTRUCTIONS FOR THE SF-424
This is a standard form used by applicants as a required facesheet for preapplications and applications submitted for
Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have
established a review and comment procedure in response to Executive Order 12372 and have selected the program
to be included in their process, have been given an opportunity to review the applicant's submission.
Item Entry:
1. Self-explanatory.
2. Date application submitted to Federal agency (or
State, if applicable) & applicant's control number (if
applicable).
3. State use only (if applicable).
4. If this application is continue or revise an existing
award, enter present Federal identifier number. If for
a new project, leave blank.
5. Legal name of applicant, name of primary
organizational unit which will undertake the
assistance activity, complete address of the
applicant, and name and telephone number of the
person to contact on matters related to this
application.
6. Enter Employer Identification Number (EIN) as
assigned by the Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s)
in the space(s) provided:
O "New* means a new assistance award.
O 'Continuation* means extension for an
additional funding/budget period for a
project with a projected completion date.
D "Revision* means any change in the Federal
Government's financial obligation or
contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is
being requested with this application.
10. Use the Catalog of Federal Domestic Assistance
number and title of the program under which
assistance is requested.
11. Enter a brief descriptive title of the project. If more
than one program is involved, you should append an
explanation on separate sheet. If appropriate (e.g.,
construction or real property projects), attach a map
showing project location. For preapplications, use a
separate sheet to provide a summary description of
this project.
12. List only the larges political entities affected (e.g..
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the
first funding/budget period by each contributor.
Value of in-kind contribution should be included on
appropriate lines as applicable.
16. Applicants should contact the State Single Point of
Contact (SPOC) for Federal Executive 12372 to
determine whether the application is subject to the
State intergovernmental review process.
17. This question applies to the applicant organization,
not the person who signs as the authorized
representative. Categories of debt include delinquent
audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's
authorization for you to sign this application as
official representative must be on file in the
applicant's office. (Certain Federal agencies may
require that this authorization be submitted as part of
the application).
SF-424 (REV 4-88)
Page 52
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APPLICATION FOR
FEDERAL ASSISTANCE
OMB Approval No. 0348-0043
2. DATE SUBMITTED
Applicant Identifier
1. Type of
Submission:
AppfctOan
a Construction
a Non-Construction
Pntppfcation
D Construction
a Non-
Construction
3. DATE RECEIVED BY STATE
State Application Identifier
4. DATE RECEIVED BY FEDERAL AGENCY
Federal Identifier
5. APPLICANT INFORMATION
Legal Name:
Organizational Unit:
Address (give city, county, state, and zip code)
Name and telephone number of the person to be contact on matters involving the
application Igive area code)
6. EMPLOYER IDENTIFICATION NUMBER (EIN):
DO-aaoaaa
8. TYPE OF APPLICATION
a New D Continuation a Revision
If revision, enter appropriate letter(s) in box(es): a D
A. Increase Award B. Decrease Award C. Increase Duration
D. Decrease Duration E. Other /specify/
7. TYPE OF APPLICANT: tenter appropriate letter in box> D
A. State H. Independent School District
B. County 1. State Controlled Institution of Higher Learning
C. Municipal J. Private University
0. Township K. Indian Tribe
E. Interstate I. Individual
F. Intermunicipal M. Profit Organization
G. Special District N. Other (Specify): _^_^^^^^^^
9. NAME OF FEDERAL AGENCY:
10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:
on-oao
TITLE:
11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
12. AREAS AFFECTED BY PROJECT (cities, counties, states, etc.l:
13. PROPOSED PROJECT:
14. CONGRESSIONAL DISTRICTS OF:
Start Date
Ending Date
a. Applicant
b. Project
15. ESTIMATED FUNDING:
16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?
a. Federal
b. Applicant
c. State
d. Local
e. Other
f. Program Income
.00
.00
.00
.00
.00
.00
17. -IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?
D YES If "Yes", attach an explanation a NO
g. TOTAL
.00
18 TO THE BEST OF MY KNOWLEDGE AND BELIEF. ALL DATA IN THIS APPLICATION/preapplication ARE TRUE AND CORRECT, THE DOCUMENT HAS
BEEN ONLY AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCE
IF THE ASSISTANCE IS AWARDED.
a. Typed Name of Authorized Representative
b. Title
c. Telephone Number
d. Signature of Authorized Representative
e. Date Signed
Standard Form REV 424 (REV 4-88)
Prescribed by OMB Circular A-102
Page 53
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5>
CO
en
-P-
BUDGET INFORMATION - Non-Construction Programs
SECTION A - BUDGET SUMMARY
Grant Program
Function
or Activity
la)
1.
2.
3.
4.
5. TOTALS
Catalog of Federal
Domestic Assistance
Number
(b)
Estimated Unobligated Funds
Federal
(c)
*
«
Non-Federal
(d)
$
$
New or Revised Budget
Federal
(e)
$
$
Non-Federal
(fl
$
$
Total
(g)
$
$
SECTION B - BUDGET CATEGORIES
6. Object Class Categories
a. Personnel
b. Fringe Benefits
c. Travel
d. Equipment
e. Supplies
f. Contractual
g. Construction
h. Other
i. Total Direct Charges (sum of 6a gh)
j. Indirect Charges
k. TOTALS (sum of 6i and 6j)
$
$
$
$
$
Standard Form 424A (4-88)
-------
SECTION C - NON-FEDERAL RESOURCES
(a) Grant Program
8.
9.
10.
11.
12. TOTALS (sum of lines 8 and 1 1)
13. Federal
14. Non-Federal
15. TOTAL (sum of lines 13 and 14)
(b) Applicant
$
$
(c) State
$
$
(d) Other Sources
$
$
(e) Totals
$
$
SECTION D - FORECASTED CASH NEEDS
Total for 1 " Year
$
$
SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEED FOR BALANCE OF THE PROJECT
(a) Grant Program
16.
17.
18.
19.
20. TOTALS (sum of lines 16-19)
FUTURE FUNDING PERIOD (Years)
(b) First
$
(c) Second
$ •
(d) Third
$
(e) Fourth
$
SECTION F - OTHER BUDGET INFORMATION
21. Direct Charges:
22. Indirect Charges:
23. Remarks
Prescribed by OMB Circular A-102
-------
Authorized for Local Reproduction
INSTRUCTIONS FOR THE SF-424A
General Instructions
This form is designed so that application can be made for funds from
one or more grant program. In preparing the budget, adhere to any
existing Federal grantor agency guidelines which prescribe how and
whether budgeted amounts should be separately shown for different
functions or activities within the program. For some programs,
grantor agencies may require budgets to be separately shown by
function or activity. Sections A, B, C, and D should include budget
estimates for the whole project except when applying for assistance
which requires Federal authorization in annual or other funding period
increments. In the latter case. Section A, B, C, and D should provide
the budget for the first budget period (usually a year) and Section E
should present the need for Federal assistance in the subsequent
budget periods. All applicants should contain a breakdown by the
object class categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4. Column* (a) and (b)
For applications pertaining to a single Federal program (Federal
Domestic Assistance Catalog number) and not requiring a functional
or activity breakdown, enter on Line 1 under Column (a) the catalog
program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the catalog
number in Column (b). For applications pertaining to multiple
programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line in
Column (a) and the respective catalog number on each line in Column
(b).
For applications pertaining to multiple programs where one or more
programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate
space for all breakdown of data required. However, when more than
one sheet is used, the first page should provide the summary totals
by programs.
Une 1-4, Columns Ic) through (g)
For new applications, leave Columns (c) and (d) blank. For each line
entry in Columns(a) and (b), enter Columns (e), (f) and (g) the
appropriate amounts of funds needed to support the project for the
first funding period (usually a year).
For continuing grant program applications, submit these forms before
the end of each funding period as required by the grantor agency.
Enter in Columns (c) and (d) the estimated amounts of funds which
will remain unobligated at the end of the grant funding period only if
the Federal grantor agency. Enter in Columns (c) and (d) the
estimated amounts of funds which will remain unobligated at the end
of the grant funding period only if the Federal grantor agency
instructions provide for this. Otherwise, leave these columns blank.
Enter in Columns (e) and (f) the amounts of funds needed for the
upcoming period. The amount(s) in Column (g) should be the sum of
amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not use
Column (c) and (d). Enter in Column (e) the amount of the increase
or decrease of Federal funds and enter in Column (f) the amount of
the increase or decrease of non-Federal funds. In Column (g) enter
the new total budgeted amount (federal and non-Federal) which
includes the total previous authorized budgeted amounts plus or
minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Section B. Budget Categories
Line 5 - Show the totals for all columns used.
In the column headings (1) through (4), enter the titles of the same
programs, functions, and activities shown on Lines 1-4, Column (a),
Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Line 6a-i - Show the totals if cubes 6a to 6h in each column.
Line 6j - Show the amount of indirect cost.
Line 6k - enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in Column (5), Line 6k, should be the same as the total amount
shown in Section A, Column (g). Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1 )-(4), Line 6K should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Une 7 - enter the estimated amount of income, if any, expected to be
generated from this project. Do not add or subtract this amount from
the total project amount. Show under the program narrative
statement of the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Line 8-11 - Enter amounts of non-Federal resources that will be used
on the grant. If in-kind contributions are included, provide a brief
explanation on a separate sheet.
Column (a) - enter the program titles identical to Column
(a). Section A. A breakdown by function or activity is not
necessary.
Column (b)
applicant.
Enter the contribution to be made by the
Column (c) - Enter the amount of the State's cash and in-
kind contributions are included, provide a brief explanation
on a separate sheet.
Column (d) - Enter the amount of cash and in-kind
contributions to be made from all other sources.
Column (e) - enter totals of Columns (b), (c) and (d).
Line 12 - Enter the total for each of Columns (b)-le). The amount in
Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
SF-424 (4-88)
Page 56
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INSTRUCTIONS FOR THE SF-424A (continued)
Section D. Forecasted Cash Needs
Line 13 - Enter the amount of case needed by quarter from the
grantor agency during the first year.
Line 14 - Enter the amount of cash from all other sources needed by
quarter during the first year.
Line 16 - Enter the totals of amounts on Line 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19 - Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper column amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements)
to funds for the current year of existing grants.
If more than four lines are needed to list the program titles, submit
additional schedules as necessary.
Line 20 - Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21 - Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the ordinary
or to explain the details as required by the Federal grantor agency.
Line 22 - Enter the type of indirect rate (provisional, predetermined,
final or fixed) that will be in effect during the period, the estimated
amount of the base to which the rate is applied, and the total indirect
expense.
Line 23 - Provide any other explanations or comments deemed
necessary.
Page 57
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ASSURANCES - NON CONSTRUCTION PROGRAMS
OMB Approval No. 03348-0040
Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency.
Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be
notified.
As the duty authorized representative of the applicant I certify that the applicant:
13. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability
(including funds sufficient to pay the non-Federal share of
project costs) to ensure proper planning, management and
completion of the project described in this application.
14. Will give the awarding agency, the Comptroller General of
the United States, and if appropriate, the State, through
any authorized representative, access to and the right to
examine all records, books, papers, or documents related to
the award; and will establish a proper accounting system in
accordance with generally accepted accounting standards
or agency directives.
15. Will establish safeguards to prohibit employees from using
their positions for purpose that constitutes or presents the
appearance for personal or organizational conflict of
interest, or personal gain.
16. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
17. Will comply with the Intergovernmental Personnel Act of
1970 (42 U.S.C. ii 4728-4763) relating to prescribed
standards for merit systems for programs funded under one
of the nineteen statutes or regulations specified in Appendix
A of OPM's Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
18. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a)
Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of
1972 as amended (20 U.S.C. §§ 1681-1683, and 1685-
1686), which prohibits discrimination on the basis of Sec.
(c) Section 504 of the Rehabilitation Action of 1975, as
amended (42 U.S.C. i§ 6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse
Office and Treatment and Rehabilitiation Act of 1970 (P.L.
91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) § § 523 and 527 of
the Public Health Service Act of 1912 (42 U.S.C. 290 dd03
and 290 ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title Viii of the
Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or
financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under the requirements
of any other nondiscrimination statute(s) which may apply
to the application.
19. Will comply, or has already complied, with the requirements
of Title II and III of the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970 (P.L. 91-
646) which provide for fair and equitable treatment of
persons displaced or who property is acquired as a result of
Federal or federally assisted programs. These requirements
apply to all interests in real property acquired for project
20. purposes regardless of Federal participation in purchases.
21. Will comply with the provisions of the Hatch Act (5 U.S.C.
§§ 1501-1508 and 7324-7328) which limit the political
activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
22. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. ii 276a to 276a-7), the Copeland
Act (40 U.S.C. i§ 327-333), regarding labor standards for
federally assisted construction subagreements.
23. Will comply, if applicable, with the flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires
recipients in a special flood hazardous area to participate in
the program and to purchase flood insurance if the total
cost of insurable construction and acquisition is $ 10,000 or
more.
24. Will with environmental standards which may be prescribed
pursuant to the following: (a) institution of environmental
quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190) and Executive Order (EO)
11514; (b) notification of violating facilities pursuant to EO
1738 (c) protection of wetlands pursuant to EP 11990, (d)
evaluation of flood hazards in flood plains in accordance
with EO 11988; (e) assurance of project consistency with
the approved State management program developed under
Costal Zone Management Act of 1972 (16U.S.C. ii 1451
et seq.); (f) conformity of Federal actions to State (Clear
Air) Implementation Plans under Section 176
-------
ASSURANCES - ISION CONSTRUCTION PROGRAMS (continual
28.
29.
Will comply with the Laboratory Welfare Act of 1966 (P.L.
89-544, as amended, 7 U.S.C. 2131 et seq.) Pertaining to
the care, handling, and treatment of warm blooded animals
held for research, teaching, or other activities supported by
this award of assistance.
Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. § § 4801 et seq.) Which prohibits the use of
lead-based paint in construction or rehabilitiation of
residence structures.
30. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act
of 1984.
31. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies
governing this program.
Signature of Authorized Certifying Official
Title
Applicant Organization
Date Submitted
Page 59
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United States Environmental Protection Agency
Washington, D.C. 20460
EPA Project Control Number
Certification Regarding
Debarment, Suspension, and Other Responsibility Matters
The prospective participant certifies to the best of its knowledge and belief that it and the
principals:
(a) Are not presently debarred, suspended, proposed for debarment declared
ineligible, or voluntarily excluded from covered transactions by any Federal
department or agency;
(b) Have not within a three year period preceding this proposal been convicted of
or had a civil judgement rendered against them for commission of fraud or a
criminal offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State, or local) transaction or contract under a
public transaction: violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records,
mailing false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a
government entity (Federal, State, or local) with commission of any of the
offenses enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period proceeding this application/proposal had one
or more public transaction (Federal, State, or local) terminated for cause or
default.
I understand that a false statement on this certification may be grounds for rejection of this
proposal or termination of the award. In addition, under 18 U.S.C. Sec. 1001, a false
statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both.
Type Name & Title of Authorized Representative
Signature of Authorized Representative Date
^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^•••i^j
CI | am unable to certify to the above statements. My explanation is attached.
EPA Form 5700-49 (11-88)
Page 60
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Instructions
Under Executive Order 12549, an individual or organization debarred or excluded from
participation in Federal assistance or benefit programs may not receive any assistance award
under a Federal Program or a subagreement thereunder for $25,000 or more.
Accordingly, each prospective recipient of an EPA grant, loan, or cooperative agreement and
any contract or subagreement participant thereunder must complete the attached certification
or provide an explanation why they cannot. For further details, see 40 CFR 32.510,
participants' responsibilities, in the attached regulation.
Where to Submit:
The prospective EPA grant, loan, or cooperative agreement recipient must return the signed
certification or explanation with its application to the appropriate EPA Headquarters or
Regional office, as required in the application instructions.
A prospective prime contractor must submit a completed certification or explanation to the
individual or organization awarding the contract.
Each prospective subcontractor must submit a completed certification or explanation to the
prime contractor for the project.
How To Obtain Forms:
EPA includes the certification form, instructions, and a copy of its implementing regulation
(40 CFR Part 32) in each application Mt Applicants may reproduce these materials as needed
and provide them to their prospective prime contractor, who, in turn may reproduce and
provide them to prospective subcontractors.
Additional copies/assistance may be requested from:
Suspension and Debarment Division
Grants Administration Division
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, N.W. (3903R)
Room 51288
Washington, D.C. 20460
(202) 564-5305
EPA Form 5700-49 (11-88)
Page 61
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EPA PROJECT CONTROL NUMBER
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS. GRANTS. LOANS. AND COOPERATIVE
AGREEMENTS
The Undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to-influence an officer
or employee of any agency..a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the
awarding of any Federal contact, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard
Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its
instructions.
(3) The undersigned shall require that the language of this certification be included
in the award of documents for all subawards at alltiers (including
subcontractors, subgrants, shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title 31,
U.S. Code. Any person who fails to file the required certification shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for each such failure.
TYPED NAME & TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE OF AUTHORIZED REPRESENTATIVE DATE
Page 62
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INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the importing entity, whether subawarded or once Federal recipient at the initiation or receipt of a covered Federal
action, or a material change to a previous film & pumunt to tide 31 U.S.C. Section 1352. The filing of a form it's required for each payment of, agreement
to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF LLL-A Continuation Sheet for
additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the
implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal
action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow up report caused by a material change to the information previously reported.
Enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this
covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate
classification of the reporting entity that designates it is, or expects to be a prime or subaward recipient. Identify the tier of the subawardee, e.g.,
the first subawardee of the prime is the 1" tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under
grants.
5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of prime Federal
recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if know.
For Example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 11. if known, enter full catalog of Federal Domestic Assistance
(CFDAj number for grams, cooperative agreements, laws, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g.. Request for Proposal (RFP) number
Invitation for Bid (IFS) number grant announcement number: the contract, grant, or loan award number the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP DE-90-001".
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the
award/loan commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the fuM name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the
covered Federal action.
(b) Enter the fun names of the individuals) performing services, and include full address, if different from 10 W. Enter Last Name, First, Name
and Middle Initial (Ml).
whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the
cumulative amount of payment made or planned to be made.
12. Check the appropriate boxles) -Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of
the in-kind payment.
13. Check the appropriate boxles). Check all boxes that apply, if other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any
services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal
offictaKs) or employee(s) contacted or the Officer(s) employee(s), or Member(s) of Congress that were contacted.
15. Check whether or not a SF LLL-A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title and telephone number.
Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments
regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Office of
Management and Budget. Paperwork Reduction Project (0348-0046), Washington, D.C. 20503.
Approved by
0348-0044
Page 63
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DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure)
1 . Type of Federal Action: 2. Status of Federal Action:
HI a. Contract D a. Bid/Officer/Application
b. Grant b. Initial Award
c. Cooperative Agreement c. Post-Award
d. Loan
e. Loan Guarantee
f. Loan Insurance
4. Name and Address of Reporting Entity:
D Prime D Subawardee
Tier . if known:
Congressional District, if known:
6. Federal Department/Agency:
8. Federal Action Number, if known:
1 0. a. Name and Address of Lobbying Entity
(If individual, last name, first name. Mil:
3. Report Type:
Q a. Initial Filing
b. Material Change
For Material Change Only:
Year Quarter
Date of last report
5. If Reporting Entity in No. 4 is Subawardee, enter Name and
Address of Prime:
Congressional District, if known:
7. Federal Program Name/Description:
CFDA Number, if applicable:
9. Award Amount, if known:
$
b. Individuals Performing Services (including address, if different
from No. 10al (last name, first, name Mil:
(attach continuation sheet(s) SF LLL-A, if necessary)
1 1 . Amount of Payment (check all that apply):
$ D actual D planned
12. Form of Payment (check all that apply):
D a. Cash
D b. In-kind specify: nature
value
1 3. Type of Payment (check all that apply!:
D a. Retainer
Ll b. One-Time Fee
D c. Commission
D d. Contingent Fee
O e. Deferred
O f. Other: specif v:
15. Brief description of services performed or to be performed and date(s) of services, including officer(s),
employee(s), or member(s) contacted for payment indicated in Iteml 1:
(attached continuation sheet(s) SF LLL-A, if necessary)
16. Information requested through the form is authorized by code 31
U.S.C. Section 1352. This disclosure of lobbying activities is a material
representation of the fact upon which reliance was placed by the tier above
when this transaction was made or entered into. This disclosure is required
pursuants to 31 U.S.C. 1352. This information will be reported to the
Congress semi-annually and will be available for public inspection. Any
person who fails to file the required disclosure shall be subject to a civil
penalty of not less than $ 1 0,000 and not more than $ 1 0,000 for each such
failure.
E...J....I 1 1— r»-i .. Authorized for Local Reproduction
Federal Use Only. Standard Form - LLL
0348-0044
Page 64
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DISCLOSURE OF LOBBYING ACTIVITIES
CONTINUATION SHEET
Reporting Entity: Page of
Authorized for Local Reproduction
Page 65
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)
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
Preaward Compliance Review Report For all Applicants
Requesting Federal Rnancial Assistance
Form Approved
OMB No. 2090-014
Expires 4-30-99
"Jote: Read instructions on reverse side before completing form.
A. Applicant (Name, City, State)
B. Recipient (Name, City, State)
C. EPA Project No.
ll. Brief description of proposed project, program or activity.
||ll. Are any civil rights lawsuits or compliants pending against applicant and/or recipient? Yes No
If "yes", list those compliants and the disposition of each compliant.
Is any other Federal financial assistance being applied for or is any other federal financial
Assistance being applied to any portion of this project, program or activity?
If "yes", list the other Federal Agency(s), describe the associated work and the dollar
amount of assistance.
And constructed to be readily accessible to and unusable by handicapped persons?
If, "no", explain how a regulatory exception applies (40 CFR 7.70).
||V. Have any civil rights compliance reviews of the applicant and/or recipient been conducted Yes No
By and Federal agency during the two years prior to this Application for activities which
would receive EPA assistance?
If "yes", list those compliance reviews and status of each review.
Yes
No
IK
In. A.
II B.
•p. A.
IL B-
Ir A
II B.
Ir A-
II B-
Population Characteristics
Population of Entire Service Area
Minority Population Entire Service Area
Population Currently Being Served
Minority Population Currently Being Served
Population to be Served by Project, Program or Activity
Minority Population to be Served
Population to Remain without Service
Minority Population to Remain Without Service
Number of People |
I
1
1
1
|| •• II
•K/lll. Will all new facilities or alterations to existing facilities financed by these funds be designed Yes No II
|JX. Give the schedule for future projects, programs or activities (or of-future plans), by which service will be provided to all
beneficiaries within applicant's jurisdiction. If there is no schedule, explain why.
I certify that the statements I have made on this form and all attachments thereto are true, accurate and complete. I
acknowledge that any knowingly false or misleading statement may be punishable by fine or imprisonment or both under
applicable law.
A. Signature of Authorized Official
B. Title of Authorized Official
C. Date
1 For the U.S. Environmental Protection Agency |
1 Approved Disapproved 1 Authorized EPA Official
Date
Form 4700-4 (Rev. 1-90) Previous editions are obsolete
Primed on Recycled Paper
Page 66
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Instructions
General
Recipients of Federal financial assistance from the U.S.
Environmental Protection Agency must comply with the following
statutes.
Title VI of the Civil Rights Act of 1964 provides that no person in
the United States shall, on the grounds of race, color, or national
origin, be excluded from participation in, be denied the benefits
of, or be subjected to discrimination under any program or activity
receiving Federal financial assistance. The Act goes on to explain
that the trtte shall not be construed to authorize action with
respect to any employment practice or any employer, employment
agency, or labor organization (except where the primary objective
of the Federal financial assistance is to be provide employment).
Section 13 of the 1972 Amendments to the Federal Water
Pollution Control Act provides that no person in the United States
shall on the ground of sex, be excluded from participation in, be
denied the benefits of, or be subjected to discrimination under the
Federal Water Pollution Control Act, as amended. Employment
discrimination on the basis of sex is prohibited in all such
programs or activities.
Section 504 of the Rehabilitation Act of 1973 provides that no
otherwise qualified handicapped individual shall solely by reason
of handicap be excluded from participation in, be denied the
benefit of or be subjected to discrimination under any program or
activity receiving Federal finance assistance. Employment
discrimination on the basis of handicap is prohibited in all such
programs or activities.
The Agency Discrimination Act of 1975 provides that no person
on the basis of age shall be excluded from participation under any
program or activity receiving Federal financial assistance.
Employment discrimination is not covered. Age discrimination in
employment is prohibited by the Agency Discrimination in
Employment Act administered by the Equal Employment
Opportunity Commission.
Title IX of the Education Amendments of 1972 provides that no
person on the basis of sex shall be excluded from participation in,
be denied the benefit of, or be subjected to discrimination under
any education program or activity receiving Federal financial
assistance. Emptoyment discrimination on the basis of sex is
prohibited in all such education programs or activities. Note: An
education program or activity is not limited to only those
conducted by a formal institution.
The information on this form is required to enable the U.S.
Environmental Protection Agency to determine whether applicants
and prospective recipients are developing projects, programs and
activities on a nondiscriminatory basis as required by the above
statues.
Submit this form with the original and required copies of
applications, requested for extensions, requests for increase of
funds, etc. Updates of information are all that are required after
the initial application submission.
If any item is not relevant to the project for which assistance is
requested, write *NA: for 'Not Applicable*.
In the event applicant is uncertain about how to answer certain
questions, EPA program officials should be contacted for
clarification.
1 A. 'Applicant* means any entity that files an application or
unsolicited proposal or otherwise requests EPA
assistance.
1B. "Recipient" means any entity, other than applicant,
which will actually receive EPA assistance.
1C. Self-explanatory.
II Self-explanatory.
111. "Civil rights lawsuits" means any lawsuit or compliant
alleging discrimination on the basis of race, color,
national origin, sex, age or handicap pending against the
applicant and/or entity which actually benefits from the
grant. For example, if a city is the named applicant but
the grant will actually benefit the Department of
Sewage, civil rights lawsuits involving both the city and
the Department of Sewage should be listed.
IV. "Civil rights compliance review" means any review
assessing the applicant's and/or recipient's compliance
with laws prohibiting discrimination on the basis of
race, color, national origin, sex. age or handicap. If any
part of the review covered the entity which will actually
benefit from the grant, it should be listed.
V. Self-explanatory.
VI. The word'community refers to the area under the
applicant's and/or recipient's jurisdiction. The
"community* might be a university or laboratory
campus, or a community within a large city. If there is
a significant disparity between minority and non-
minority population to receive serve, not otherwise
satisfactorily explained, the Regional office may require
a map which indicates the minority and non-minority
population served by this project, program or activity.
VII. This information is required so that reviewers may
determine if a disparity in the proposed provision of
services will exist in the event the application is
approved for funding. Give population of recipient's
jurisdiction, broken out by categories as specified.
VIII. Self-explanatory.
IX. -Jurisdiction" means the geographical area over which
applicant has the authority to provide service.
X. Self-explanatory.
EPA estimates public reporting burden for the preparation of this form to
average 30 minutes per response. This estimate includes the t.me for
reviewing instructions, gathering and maintaining the data needed, and
completing and reviewing the form. Send comments regarding this
burden estimate or any other aspect of this collection of information
including suggestions for reducing the burden, to U.S. Environmental
Protection Agency, Chief Information Policy Branch. 1200 Pennsylvan.a
Avenue N.W., Washington, D.C. 20460; and to the Paperwork Reductron
Project, Office of Information and Regulatory AffaifS, Office of
Management and Budget, Washington, D.C. 20503
EPA Form 4700-4 (Rev. 1/90) Reverae
Page 67
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PREAWARD COMPLIANCE REVIEW REPORT FOR ALL APPLICANTS
REQUESTING FEDERAL FINANCIAL ASSISTANCE
If you have any questions regarding this form, please contact the appropriate person for your
region, listed below:
Region 1
Region II
CT
ME
MA
NH
Rl
VT
NJ
NY
PR
VI
Region III DE
DC
MO
PA
VA
WV
Region IV AL
FL
GA
KY
MS
NC
SC
TN
Region V IL
IN
MN
OH
Wl
Region VI AR
LA
NM
OK
TX
Region VII IA
KS
MO
NE
Region VIII CO
MT
NO
SD
UT
WY
Region IX AZ
CA
HI
AS
GU
Region X AK
ID
OR
WA
RETURN COMPLETED APPLICATION TO:
U.S. Environmental Protection Agency
Office of Grants and Debarment
1200 Pennsylvania Avenue, N.W. (3903R)
Room 51288
Washington, D.C. 20460
Page 68
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APPENDIX B
(MBE/WBE COORDINATORS)
Region I
Sharon Molden (617)918-1062
John F. Kennedy Federal Building
One Congress Street, Suite 1100 (MCP)
Boston, MA 02203
Stofes; CT, ME, Rl, MA, NH, VT
Region il
Otto Salamon (212) 637-3417
290 Broadway - 27th Floor
New York, NY 10007-1866
States: NJ, NY, PR, VI
Region III
Romona McQueen (215)814-5155
1650 Arch Street
Philadelphia, PA 19103
States: DE, VA, MD, PA, DC, WV
Region IV
Rafael Santamaria (404) 562-8110
Matt Robbins (404) 562-8371
61 Forsyth Street, S.W.
Atlanta, GA 30303-8960
States: AL, FL, GA, KY, MS, NC, SC, TN
Region V
Darlene Hainer (312) 886-6017
77 West Jackson Boulevard (MC-10J)
Chicago, IL 60604-3507
Stares: IL, IN, Ml, MN, OH, WS
Region VI
Debora N. Bradford (214) 665-7406
1445 Ross Avenue
12th Floor, Suite 1200
Dallas, TX 75202-2733
States; AR, LA, NM, OK, TX
Page 69
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MBE/WBE COORDINATORS (Continued)
Region VII
Cecil Bailey
901 North 5th Street
Kansas City, KS 66101
States: MO, NE, IA. KS
Region VIII
Maurice Velasquez
999 18th Street, Suite 500
Denver, CO 80202-2405
States: CO, MT, WY, SO, NO, UT
Region IX
Joe Ochab
75 Hawthorne Street (P-22)
San Francisco, CA 94105
States: AZ, HA, CA, NV
Region X
Myrna Jamison
1200 Sixth Avenue
Seattle, WA 98101
States: At, ID, OR, WA
Cincinnati
Norman White
26 West Martin Luther King Drive
Cincinnati, OH 45268
North Carolina
Jerry Dodson
Research Triangle Park, NC 27711
Headquarters
Lupe Saidana
1200 Pennsylvania Avenue, N.W. (3903R)
Washington, D.C. 20460
(913) 551-7462
(303) 312-6862
(415) 744-1628
(206) 553-2931
(513) 487-2024
(919) 541-2249
(202) 564-5353
Page 70
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APPENDIX C
United States Office of Research and
Environmental Protection Development
Agency Washington, DC 20460
EPA's Small Business Innovation
Research (SBIR) Program
The Environmental Protection Agency (EPA) is one of 10 federal agencies that
participate in the SBIR Program established by the Small Business Innovation
Development Act of 1982. The purpose of diis Act was to strengthen the role of
small businesses in federally funded R&D and help develop a stronger national base
for technical innovation. A small business is defined as a for profit organiza-
tion with no more than 500 employees. In addition, the small business must be
independently owned and operated, not dominant in the field of operation in which
it is proposing, and have its principal pkce of business located in the United States.
Joint ventures and limited partnerships are eligible for SBIR awards, provided the
entity created qualifies as a small business.
EPA issues annual solicitations for Phase I and Phase II research proposals from
science and technology-based firms. Under Phase I, the scientific merit and
technical feasibility of the proposed concept is investigated. EPA awards firm-
fixed-price Phase I contracts of up to $70,000 and the period of performance for
these contracts is typically 6 months. Through this phased approach to SBIR
funding, EPA can determine whether the research idea, often on high-risk advanced
concepts, is technically feasible, whether the firm can do high-quality research, and
whether sufficient progress has been made to justify a larger Phase II effort. The
Phase I report also serves as a basis for follow-on commitments.
Phase II contracts are limited to small businesses that have successfully completed
their Phase I contracts. The objective of Phase II is to further develop the concept
proven feasible in Phase I. Competitive awards are based on the results of Phase
I and the scientific and technical merit and commercialization potential of the
Phase II proposal. Under Phase II, EPA can award contracts of up to $295,000 and
the period of performance is typically 2 years. The goal of Phase II is to complete
the R&D required to commercialize the technology.
The solicitation is posted on the National Center for Environmental Research
WEBSITE at:
http://www.epa.gov/ncerqa/sbk
Page 71
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APPENDIX D
TO: Persons Interested in Small Business Environmental Issues
We receive thousands of calls from small businesses each year seeking
information and help on environmental regulations. All inquiries and requests
can be handled anonymously regardless of their content.
Our office tries hard to lessen the burden of regulations on small
businesses and make them more understandable as they are being formulated.
However, we are not always successful when dealing with serious, complex
issues. Therefore, if you need help in interpreting and complying with the
requirements call us or write me; we can provide you information and help point
you in the right direction. You can help yourself and the environment by calling
our telephone Hotline number, 1-800-368-5888 or writing me, Karen V. Brown,
Small Business Ombudsman, U.S. EPA, 1200 Pennsylvania Avenue, N.W.
(2131), Washington, D.C. 20460.
We look forward to hearing from you, you, and you.
Karen V. Brown
Ombudsman
Page 72
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Small Business Ombudsman Functions
EPA's Office of the Small Business Ombudsman (OSBO) performs the
following functions:
* Provides a convenient way for small businesses to access
EPA;
* Facilitates communications between the small business
community and EPA;
* Investigates and resolves disputes with EPA; and
* Works with EPA personnel to increase their understanding of
small businesses in development and enforcement of environ-
mental regulations.
Page 73
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APPENDIX E
STATE SMALL BUSINESS ASSISTANCE PROGRAMS
Small Business Special Needs:
Congress recognized the particular problems that many small businesses would have in dealing with the 1990 Clean Air Act
Amendments complex requirements. A typical small business employs fewer than 50 people, and is the only business operated by
the owner. It is the corner dry cleaner, the "mom and pop" bakery, the auto body repair shop, gasoline service station, the machine,
tool and dye company, or one of other local business establishments. Many have been in the same family and neighborhood for
generations.
Air pollution control regulation may seem very complex to many small businesses. Many may not be able to afford to hire lawyers
or environmental specialists to interpret and comply with all the requirements they may be responsible for the new Act. Most may
be hard pressed inform themselves about the most basic requirements and deadlines of the control programs that will affect them,
let alone the more complicated issues they are going to have to address to control air emissions, such as:
• The types of pollutants their company emits that are subject to the Act's requirements;
• The methods they can use to estimate emissions for a permit applications;
• Types of control technologies that are best and least costly for controlling specific production progress or chemical
substance they use to make goods and services; and
• Process or substance substitutes they can use to prevent or reduce emissions.
State Lead for Providing Small Business Assistance:
The 1990 Clean Air Act Amendments gives each state government the lead in developing and implementing a Small Business
Technical and Environmental Compliance Assistance Program as part of legally enforceable state implementation plans.
The Act's Definition of a Small Business:
The Act establishes certain criteria that a company must meet to qualify for assistance as a small business. It must be a small
business as defined in the Small Business Act which generally means that it is an independently owned and operated concern that
is not dominant in its field. The business must be owned by a person who employs 100 or fewer individuals, and cannot be a major
stationary source of either a primary urban (so called "criteria") pollutant or toxic air pollutant. It cannot, in fact, emit 50 tons or
more a single pollutant a year, or more than 75 tons of all regulated pollutants. State governments can modify some of these
requirements provided that the particular source does not emit more than 100 tons a year of all regulated pollutants.
Federal Oversight and Support:
EPA will be providing several forms of guidance and assistance to these state assistance programs for the full duration of the Act.
(1) Federal Guidelines: EPA published final guidelines for states to draw upon to develop their assistance programs. The Agency
has approved each state compliance and assistance program to ensure that it meets the Act's requirements.
(2) Oversight and Monitoring: The EPA Small Business Ombudsman oversees and monitors all state assistance programs and
makes periodic reports to Congress on each state's progress. Among other things, the EPA Ombudsman determines how
well the state programs are working and makes sure the information and assistance the states provide is understandable
to the layman.
(3) Technical Assistance and Research: EPA shares information and research that it has developed nationally with each state
assistance and compliance program. States are able to receive technical assistance through several EPA Centers and
Hotlines. These Centers and Hotlines provide a broad range of assistance including information concerning the Clean A,r
Act requirements, control technology data, pollution prevention methods and alternatives, emission measurement methods.
air pollution monitoring devices, and prevention methods and alternatives, emission measurement methods. a.r pollution
monitoring devices and prevention of accidental releases of toxic chemicals into the environment.
Page 74
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APPENDIX F
COMPONENTS OF AN OVERALL STATE ASSISTANCE PROGRAM
By November, 1992, each state was required to develop a plan for implementing a Small Business Stationary Source Technical and
Environmental Program. Congress envisioned that these programs would be in place before small business begin to feel the direct
effects or deadlines of the Act.
Each state program is required to include three components: (1) appointment of a State small business ombudsman; (2)
establishment of a comprehensive small business assistance program; and {3) appointment of a seven-member state compliance
advisory panel.
(1) State Ombudsman: The first component is the State Ombudsman who acts as the small business community
representative in matters that affect it under the Clean air Act. Other responsibilities of the State Ombudsman
could be to:
• Review and provide comments and recommendations to EPA and state/local air pollution control authorities
regarding the development and implement of regulations that impact small businesses;
• Help disseminate information about upcoming air regulations, control requirements, and other pertinent
matters to small businesses;
• Refer small businesses to the appropriate specialists in state government and elsewhere for help with
particular needs (e.g., available control technologies and operating permit requirements); and
• Conducts studies to evaluate the effects of the act on state and local economies, and on small businesses
generally.
(2) Small Business Assistance Program (SBAP): The second component of the overall state program in the Smalt
Business Assistance Program which is the technical and administrative support component within the state
government. The SBAP staff has access to air quality experts, technically proficient engineers, scientists and
managers, and environmental specialists who provide support and technical assistance needed by small business
to comply with the Act's requirements. Related responsibilities include:
• Informing businesses of all requirements in the Clean air Act that apply to them and the dates these
requirements will apply;
• Helping small businesses deal with specific technical, administrative and compliance problems;
• Disseminating up-to-date information about the Clean air Act to the small business community, including
easy to understand public information materials; and
• referring small businesses to environmental auditors who can evaluate how effective a company's work
practices, monitoring procedures, and record-keeping are for complying with applicable clean air
requirements.
(3) State Compliance Advisory Panel: The third component of the overall state assistance program consists of a seven-
member state compliance advisory panel in each state of determining the overall effectiveness of the State SBAP.
Four of these members must be small business owners or representatives selected by the state legislature; the
governor of each state selects two other members to represents the ""general public". The seventh member is
chosen by the head of the state agency responsible for issuing operating permits.
The State compliance advisory panels reviews and renders advisory opinions on the effectiveness of the state SBAP, and makes
periodic progress reports to EPA's Small Business Ombudsman concerning compliance of the small business program with other
pertinent federal regulations. The compliance advisory panels also makes certain that information affecting small business is written
in a style that is clear and understandable.
TYPES OF BUSINESS SUBJECT TO AIR POLLUTION CONTROLS
This are a general list of the typical kinds of small businesses affected by one or more of the air pollution control programs under
the 1990 Clean air Act Amendments. All small businesses should consult their state pollution control agency for more specific
details about the control that will be required in their area.
Agricultural Chemical Applicators Bakeries Furniture Manufactures Hospitals Metal Finishers
Asphalt Manufactures Distilleries Furniture Repairs Laboratories Newspapers
Asphalt Applicator Dry Cleaners Gasoline Services Stations Lawnmower Repair Shops Pest Control Operators
Auto Body Shops Foundries General Contractors Lumber Mills Photo Finishing Laboratories
Printing Shops Textile Mills Tax Paving Applicators Refrigerator/Air Conditioning Wood Finishers
Page 75
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APPENDIX G
WHERE TO CALL FOR MORE INFORMATION AND HELP
Small Business Ombudsman
Toll Free
(800) 368-5888
Local and DC Area
(202) 260-1211
T.D.C.
(202) 260-1258
Fax
(202) 401-2302
OTHER EPA HOTLINES
• Center for Env. Research (513) 569-7562
• National Center for Environmental
Publication and Information (800) 490-9198
• Indoor Air Quality Info. Clearinghouse (800) 438-4381
• EPA Energy Star (888) 782-7937
• Clean Air Tech. Center (919) 541-0800
• Mobile Sources (Emissions) (734) 214-4333
• Emission Measurement Center (919) 541-0200
• Stratospheric Ozone Information (800) 296-1996
• Acid Rain (emiss. training, auctions, info.)...(202) 564-9620
• Safe Drinking Water (public water, supply
Technical and regulatory issues) (800) 426-4791
• Waste Water/Small Flows Clearinghouse
(WV University) (800) 426-8301
• Watershed Info. Resource System (800) 726-5253
• Water Resource Center (202) 260-7786
• Wetlands Information (800) 832-7828
• Pollution Prevention Info. Clearinghouse (202) 260-1023
• National Solid and Hazardous Waste
Ombudsman (800)262-7937
• Solid and Hazardous Waste (RCRA), Superfund
(CERCLA), and Underground Storage Tanks
(UST) (800)424-9361
• Emergency Planning & Community Right
To Know Title III (EPCRA) ,.(800) 535-0202
• Toxic Substances Control Act (TSCA) &
Asbestos Information (202) 554-1404
• Office of Pesticide Program Registration
Division (Ombudsman) (703) 305-5446
• Antimicrobial Ombudsman Bio-Pesticide
Staff Assist (703) 308-6214
National Pesticide Telecomm. Network (800) 858-7378
EPA Waste Wi$e/Waste Reduction (800) 372-9473
Brownfields (888) 795-4684
Office of Environmental Justice (800) 962-6415
Office of Pollution Prevention Toxic (OPPT)
Small Business Liaison (202) 260-2983
Chemical Emergency Preparedness and
Prevention Office CEPPO Small Business
Liaison (202)260-7952
National Center for Environmental Research
(SBIR) Information Center (Enter 3 after
the prompt) (800) 490-9194
EPA SMALL BUSINESS OMBUDSMAN
OTHER HOTLINES OR OTHER HELP LINES
• Recycling Hotline (800) 253-2687
• National Technical Information
Service (NTIS) (800)553-6847
• National Response Center/US Coast for
Reporting Oil Spills and Hazardous
Substance Releases (202) 267-2675
• Department of Energy (DOE)-National
Alternative Fuels Hotline (800) 423-1363
• Energy-Efficiency & Renewable Energy
Clearinghouse (Operated by the DOE) for
Inquiries on Energy Related Matters) (800) 363-3732
• DOT-Transportation of Haz. Matter (800) 467-4922
• CHEMTREC Center for NON-Emergency
Services (Operated by the Chemical
Manufacturers Association-Health &
Safety) (800)262-8200
• Electric Magnetic Fields Information (800)363-2383
• Center for Energy & Env. Management
Courses on ISO 9000/14000 (703) 250-5900
• National Lead Information Center (800) 424-5323
(General Information) (800) 532-3394
• Small Business Administration (800) 827-5722
• Occupational Safety & Health Admin.
(OSHA) (Worker Safety Referral Svcs.)...(800) 321-6742
• American Lung Association (Connects to
Local State Chapter) (800) 586-4822
• Consumer Product Safety Comm (800) 638-2772
• Radon (Nat'l. Safety Council (800) 767-7236
• INFOTERRA/USA (EPA EFC.) (202) 260-5917
• Government Printing Office (202) 512-1800
EPA REGIONAL SMALL BUSINESS LIAISONS
Dwight Peavey - Region I (617) 565-3230
Otto Salamon - Region II (212) 637-3417
David Biro - Region III (215) 566-5563
Annette Hill - Region IV (404) 562-8287
Glynis Zywicki - Region V (312) 866-4571
Patty Senna - Region VI (214) 665-7178
Charles Hensley - Region VII (913) 551-7509
Rob Laidlaw - Region VIII (303) 312-7064
Frederick Leif - Region IX (415) 744-1017
Lauri Hennessey - Region X (206) 553-1138
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APPENDIX H
Office of Small and Disadvantaged Business Utilization Directors with their
Women-Owned Business Representatives (WOBREP)
MAJOR FEDERAL EXECUTIVE PROCUREMENT AGENCIES
The OSDBUs offer smalt business information on procurement opportunities, guidance on procurement procedures, and
identification of both prime and subcontracting opportunities.
AGRICULTURE DEPARTMENT
14* & Independence Ave., S.W.
1323 South Building
Washington, O.C. 20250-9400
Director: Sharron Harris
WOBREP: Stella Hughes
Phone: (202) 720-7117
FAX: 202) 720-3001
AIR FORCE DEPARTMENT
1060 Air force Pentagon - Rm. 5E271
Washington, O.C. 20330-1060
Director: Anthony J. DeLuca
WOBREP: Judy Schlott
Phone: (703) 697-1950
FAX: (703) 614-9266
ARMY DEPARTMENT
106 Army Pentagon - Rm. 2A712
Washington. D.C. 20310-0106
Director: Tracey I. Pinson
WOBREP: Sarah A. Cross
Phone: (703) 697-2868
FAX: (703) 693-3898
COMMERCE DEPARTMENT
14** & Const. Ave.. N.W., Rm. H6411
Washington, D.C. 20230
Director: Tlatoc J. Garcia
WOBREP: Brenda Black
Phone: (202) 482-1472
FAX: (202) 482-0501
DEFENSE DEPARTMENT
1777 North Kent Street. Suite 9100
Arlington, VA 22209
Director: Robert Meal
Deputy: Tun Foreman
WOBREP: Janet Koch
Phone: (703) 588-8681
DEFENSE LOGISTICS AGENCY
8725 John J. Kingman Road
ATTN: DDAS, Suite 2533
Ft. Belvoir, VA 22060-6221
Director: Uoyd C. Alderman
Deputy: Anthony Kuddens
WOBREP: Patricia A. Cleveland
Phone: (703) 767-1650
FAX: (703) 767-1670
EDUCATION DEPARTMENT
400 Maryland Ave., S.W.. Rm. 3120
Washington, D.C. 20202-0521 (FOB «)
Director: Viola JaramiUo
Phone: (202) 708-9820
FAX: (202)401-6477
ENERGY DEPARTMENT
1000 Independence Ave., S.W., 5B-110
Washington. D.C. 20585
Director: James B. Lewis
Acting Deputy: Ester Aguilera
WOBREP: Marcia Haynes
Phone: (202) 586-7377
FAX: (202) 586-5488
ENVIRONMENTAL PROTECTION AGENCY
1200 Pennsylvania Ave.. M.W.
1230A, Rm. 6426 North Building
Washington, O.C. 20460
Director: Jeanette L. Brown
Deputy: David Sutton
WOBREPS: Trina Porter/Myma Mooney
Phone: (202) 564-4100
FAX: (202) 501-0756
GENERAL SERVICES ADMINISTRATION
18* & F Street. N.W., Rm. 6029
Washington. D.C. 20405
Director. Jackie Robinson
Deputy: Mirinda Jackson
WOBREP: Elizabeth Ivey
Phone: (202) 501-1021
FAX: (202) 208-5938
HEALTH & HUMAN SERVICES
200 Independence Ave.. S.W.. rm. 517D
Washington. D.C. 20201
Director: Vert Zanders
WOBREP: Angel Graves
Phone: (202) 69O-7300
FAX: (202) 690-8772
HOUSING & URBAN DEVELOPMENT DEPT.
451 7" Street, S.W., Rm. 3130
Washington. D.C. 20410
Director: Casimir Bonkowski
WOBREP: B. J. Douglas
Phone: (2021 708-1428
FAX: (202) 708-7642
INTERIOR DEPARTMENT
1849 C Street, N.W., Rm. 5524
Washington, D.C. 20240
Director: Robert Faithful
WOBREP: Doris Sanford
Phone: (202) 208-3493
FAX: (202) 219-2131
JUSTICE DEPARTMENT
1331 Pennsylvania Ave., N.W.,
National Place (The Shops)
Washington, D.C. 20530
Director: J. Ken Bryan
WOBREP: Eteanore Geary
Phone: (202)616-0521
FAX: (202) 616-1717
Rm. 1010
LABOR DEPARTMENT
200 Constitution Ave., Rm. C2318
Washington, D.C. 20210
Director: June M. Robinson
WOBREP: Elaine Murrell
Phone: (202) 219-9148
FAX: (202) 219-9167
NATIONAL AERONAUTICS & SPACE ADMIN.
300 E. Street, S.W., Rm. 9K70, Code K
Washington, D.C. 20546
Assoc. Administrator: Ralph C. Thomas
WOBREP: Verne!! Jackson
Phone: (202) 358-2088
FAX: (202) 358-3261
NAVY DEPARTMENT
Washington Navy Yard, Building 36
901 M Street. S.E.
Washington, D.C. 20374-5015
Acting Director: Joseph Horvath
WOBREP: Nancy Tarrant
Phone: (202) 685-6485
FAX: (202) 865-6865
STATE DEPARTMENT
SA-6 Room 633
Washington, D.C. 20522
Director: Dune White
WOBREP: Linda Taylor
Phone: (703) 516-1953
FAX: (703) 875-6825
TRANSPORTATION DEPARTMENT
400 7" Street, S.W.. Rm. 9414
Washington, D.C. 20590
Director: Luz A. Hopewell
WOBREP: Ms. Pat Hodge
Phone: (202) 366-1930
FAX: (202) 366-7228
TREASURY DEPARTMENT
1310 G Street, N.W., Rm. 400W
Washington. D.C. 20220
Director: Kevin Boshears x0376
WOBREP: Mary Ellen-Dorsey
Phone: (202) 622-0530
FAX: (202) 622-4963
VETERANS AFFAIRS DEPARTMENT
801 I Street. N.W.
OSDBU, OOSB - Rm. 1221
Washington, D.C. 20420
Director: Scott Denniston
Deputy: Gail Wagner
WOBREP: Jim Dunning
Phone: (202) 565-8124
FAX: (202) 565-8156
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